The Compliance4 Podcast is pleased to welcome David Lui to our show! Our episode aired live on Blogtalkradio and is now available on free replay. To listen to our free replay click on the episode below. About David Lui: David Lui is the Co-Editor of Modern Compliance, an 835-page treatise focusing on best practices for compliance with American securities and financial services requirements. The book is published and distributed by Wolters Kluwer Financial Services and contain
Please welcome Dave Carson as a guest the Compliance4 Podcast, airing February 20, 2018. To listen to the show live, call us at (516) 531-9232 or click on the link below to listen from your device. All free replays are available from the link below. Dave joined Ultimus in 2013. As Director of Client Strategies, Dave's primary responsibilities include managing the series trust product line, providing expert assistance to investment managers considering starting a fund, and s
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 (516) 531-9232 or click on the link below to listen from your device. All free replays are available from the link below. About Norm Champ: Norm Champ is a partner in the New York office of Kirkland & Ellis LLP. Norm is a member of the Investment Funds Group. Previously, Norm was the director of the Division of Investment Management at the
Welcome to Compliance4. We are committed to excellence. At Compliance4, we understand that regulatory oversight and compliance are not always easy. Compliance4 is a boutique regulatory compliance consulting firm based in Portland, Maine. We are a leader in the compliance and regulatory services industry by offering expert compliance services and high quality comprehensive regulatory solutions.
We offer superior outsourced compliance resources and expertise, designed to be