Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Author: Amir Lahoud

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Monthly Regulatory Review and Outlook (December 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, […]

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Monthly Regulatory Review and Outlook (November 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, […]

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Monthly Regulatory Review and Outlook (October 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, […]

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News Update: SEC fines Firm $100,000 for Failure to Maintain Text Messages

Background & Summary The Securities and Exchange Commission (“SEC”) entered an order (“Order”) against a broker-dealer for failing to retain text messages […]

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The Silicon Review: “30 Fastest Growing Private Companies to Watch in 2020.”

The Silicon Review  "Compliance demands in the financial services sector are surging and the operational costs associated with hiring and […]

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