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As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients [...]

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients [...]

Background & Summary The Securities and Exchange Commission (“SEC”) entered an order (“Order”) against a broker-dealer for failing to retain text messages relating to the firm’s business with [...]

The Silicon Review  “Compliance demands in the financial services sector are surging and the operational costs associated with hiring and retaining capable in-house assistance is rising in [...]