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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...
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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...
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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...
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Apr 27, 20182 min read
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