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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...
Admin
Dec 18, 20182 min read
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...
Admin
Sep 18, 20185 min read
Compliance Check-Up
Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, fund...
Admin
Apr 27, 20182 min read
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