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Welcome to the Compliance4 Blog

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 an integral part of our client’s daily operations, resulting in a stronger, more focused and competitive firm. We strive to help our clients succeed in a financial marketplace by providing customized, sensible and practical compliance solutions that fit each client’s evolving needs. We are determined to serve our clients with the highest level of professionalism and with a personal, high-touch approach to client relations. We value long-term relationships and design our compliance solutions to grow and evolve as our clients do the same. We focus on providing superior client service, the highest quality work product, and the most favorable pricing possible with one clear mission in mind: to ensure any compliance expense is seen as a true value-add and not simply an operational cost.

Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, private funds, mutual funds, ETFs, fund boards and hedge fund managers on a one-time or recurring basis.

Our Services include, but are not limited to:

  • Serve as your Fund or Adviser’s Independent Chief Compliance Officer

  • Design and implement Rule 38a-1 or Rule 206(4)-7 Compliance Programs

  • Mutual Fund Launch and Vendor or Service Provider Selection Services

  • Conduct Oversight of Service Providers and Sub-Advisers

  • Prepare Quarterly and Annual Rule 38a-1 Annual Compliance Reports

  • Provide Adviser Deputy CCO Support Services

  • Prepare Annual Adviser Rule 206(4)-7 Compliance Reviews

  • Compliance Program Testing and Evaluation Assistance

  • Prepare Risk Assessments and Gap Analysis of Relevant Business Activities and Functional Areas

  • Conduct SEC Mock Examinations

  • Support a “Culture of Compliance” through Training and On-Going Support

  • Code of Ethics and Personal Trading Review

  • Best Execution, Pricing and Valuation Review

  • Soft Dollar Arrangements

  • Proxy Voting Disclosures and Procedures

  • Anti-Money Laundering Review

  • Business Continuity Plan, Cybersecurity and Privacy Policy Assessments

  • Required Books and Records Review

  • Electronic Communications Review

  • Social Media Consulting and Review

  • Compliance Health Check-Up: Evaluation of Operational Effectiveness of Select Policies and Controls

Compliance4 offers a wealth of legal, CCO, mutual fund compliance, investment adviser and broker-dealer experience. Compliance4 provides you the ability to continue to focus on your core business of investing with the security and confidence that your Fund's or your adviser's compliance responsibilities are being met.

We welcome the opportunity to speak with you.

Your success is our priority.

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Join our community "The Compliance Forum"

The Compliance Forum community is a trusted place to share ideas, best practices and solutions to regulatory concerns. The forum is being launched with four main topics: SEC Request Lists, Policies and Procedures, Best Practices, and Compliance Rules and Technology. Please feel free to start discussions or let the admin know of topics you would like to add.

About Peter R. Guarino

Compliance4 and its predecessor firms have been assisting clients with their compliance obligations since 2008. Peter R. Guarino brings more than 35 years of investment adviser, mutual fund, private fund as well as broker-dealer experience. Compliance4 provides compliance consulting services to investment advisers, registered investment companies and private investment funds, including compliance infrastructure set-up and SEC registration, conducting annual compliance program reviews and testing, developing risk assessments and preparing clients for SEC examinations. Most recently, Peter served in a Senior Compliance role at a New York based consultant. Prior thereto, Peter served as Vice President for another compliance consultancy starting up its Investment Company Compliance Services initiative. This initiative was designed to assist advisers enter the fund business and support their CCOs in administering both Rule 206(4)-7 and Fund Rule 38a-1 Compliance Programs. Peter also served as the Chief Compliance Officer for mutual fund adviser Montibus Capital and served as the CCO of Thomas Weisel Partners Group, Inc., each a division of Stifel. Prior to that, Mr. Guarino was the President of IM Compliance LLC, serving as the independent Chief Compliance Officer for several series trusts and standalone registered investment companies and as a consultant to registered investment advisers. From 2004 to 2008, he served as the Managing Director at Foreside, leading its compliance services division. Formerly, he served as General Counsel and Global Chief Compliance Officer for MiFund, Inc., a privately held investment company services firm. In addition to his compliance work, Peter has extensive business and administrative experience and served as the Chief Operating Officer of Merrill Corporation’s Investment Company Services division. Finally, Peter was Senior Counsel and Secretary at GT Global/LGT Asset Management in San Francisco. He began his career at The Dreyfus Corporation in New York. Peter received his J.D. from Suffolk University Law School in Boston and his B.A. from Rutgers University. He lives in Maine with his wife, author Elizabeth Hamilton-Guarino and their four boys.

About Elizabeth Hamilton-Guarino

Elizabeth is a 20-year veteran of the financial services industry. Also, a recognized leader in personal development, Elizabeth is the founder and CEO of The Best Ever You Network, a brand with more than one million followers in social media and millions of radio listens and downloads on The Best Ever You Show. In 2017, blending her financial services and Best Ever You marketing experience and knowledge, Elizabeth launched Compliance4. Elizabeth sees an increasing need for social media consulting, training and effective use of electronic platforms by the financial services industry. With her deep experience and understanding of SEC rules, Elizabeth helps companies implement a positive on-line presence and position the company and develop their brand appropriately and ethically in social media. An expert in mentoring people to market their strengths and achieve brand excellence, she works with clients worldwide to illuminate their light within, develop their best life and become their Best Ever You with gratitude-based behavior and belief systems.

Elizabeth ranks consistently as one of the Top 40 social media CEOs on Twitter and was just named a favorite by Oxford University Said Business School., which is the center of learning in business, management and finance. Her hashtags #BestEverYou and #TipstoBeYourBest are widely circulated.

Elizabeth and her husband Peter R. Guarino have been married for nearly 20 years and have raised four young men which they are very proud.

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