Peter R. Guarino
President & Chief Compliance Officer: Compliance4
- Role
- President Chief Compliance Officer at Compliance4
- Location
- Portland, ME, US
- LinkedIn followers
- 500 followers
About Peter R. Guarino
Peter Guarino has over 35 years of legal, global investment management regulatory and…
Experience
President Chief Compliance Officer
Dec 2008 — Present · Portland, ME, US
Serve as the CCO or Deputy CCO or provide senior level compliance support for registered investment advisers. Provide compliance support to registered hedge or private equity advisers, venture and exempt reporting advisers, Provide Independent CCO Rule 38a-1 services to mutual funds, closed end, interval, non-listed funds and ETFs.Administer and oversee the Advisers’ Rule 206(4)-7 compliance programs and Rule 38a-1 for the Funds. Conduct annual reviews/risk assessments and prepare reports of fund or investment adviser compliance programs.Conduct comprehensive UK (FCA) compliance reviews and assist Hong Kong based advisers US review efforts.Perform review and reporting responsibilities as the Adviser or Fund Code of Ethics Review Officer.Manage Trustee relationships to foster positive and productive interactions between the Board and management. Conduct specialized due diligence reviews and findings reports regarding advisers being considered for dacquisition.Help launch a mutual fund robo-adviser with a unique (pay what you want) investment advisory fee arrangement.Analyze and test Sub-Adviser, Administrator and other Service Provider compliance program procedures.Draft Form ADV, develop compliance manuals, codes of ethics and other policies for newly-formed advisers.Review advertising materials, RFPs, DDQs and prepare Fund 15(c) contract renewal responses for advisers.Lead the firms’ SEC exam response team, prepare response letters and implement the SEC agreed upon policies.Work with legal team to address compliance issues, form corrective action plans and eliminate similar incidents.Coordinate with external counsel for mutual fund or private fund documentation on new and existing funds. Conduct mock SEC examinations of funds and advisers.Provide annual compliance training and deliver specialized training on complex regulatory topics.Interpret new and proposed legislation and analyze impact on adviser’s asset management business.
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