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SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.
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Oct 30, 20191 min
SEC Advertising Rule Proposal Announced
SEC Advertising Proposal Announced
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Jun 5, 20193 min
Keep Current with Compliance - 4 Topics for June 2019
Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.
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Dec 18, 20182 min
How Not to Get Zapped by Electronic Communications
On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...
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Sep 18, 20185 min
IA Watch: Exam roundup: Hot Issues OCIE’s Pursuing with Your Peers
Compliance4 president and Chief Compliance Officer, Peter R. Guarino, was quoted in the September 17, 2018 edition of IA Watch, the...
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Jul 24, 20185 min
It's Not Over Until It's Over - Liquidity Risk Classification Outreach Continues!
On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The...
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Jul 18, 20181 min
Compliance4 Podcast - Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for F
Please welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast. Susan and Tamara will join us for an hour to talk about...
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Mar 19, 20183 min
SEC is Listening to the Mutual Fund Industry and Requests Comments
On Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is...
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Feb 23, 20182 min
SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule
The SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...
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Feb 16, 20182 min
SEC to Hold National Compliance Outreach Seminar
Press Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment...
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Feb 16, 20181 min
SEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under Consideration
From: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME...
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Jan 22, 20183 min
Compliance4 Podcast - Norm Champ
Please welcome Norm Champ as our first guest on the Compliance4 Podcast, airing February 1, 2018. To listen to the show live, call us at...
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