By Peter R. Guarino On November 4, 2024, the Division of Examinations (Exams) issued a Risk Alert titled Review of Certain Core Areas and...

The Securities and Exchange Commission’s Division of Examinations today released its 2025 Examination Priorities.  The Division publishes...

SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs

On Wednesday, August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) issued a final rule to help investment advisers...

Private Fund Rule Update

The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...

The Securities and Exchange Commission on Wednesday advanced by a 3-2 vote a new rule proposal (new rule 206(4)-11 and rule amendments...

SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.

SEC Advertising Proposal Announced

Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.

On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...

On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The...

On Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is...

The SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...

Press Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment...

From: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME...