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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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Admin
- Sep 18, 2018
- 5 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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- May 4, 2018
- 1 min
Compliance4 Podcast - David Lui - Compliance Controls for Advisers & Other Industries
The Compliance4 Podcast is pleased to welcome David Lui to our show! Our episode aired live on Blogtalkradio and is now available on free...
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