Author: Amir Lahoud

Monthly Regulatory Summary (August 2021)

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

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Breaking News Update SR-FINRA-2020-041 Approval

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an order[1] dated July 30, 2021, the […]

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Monthly Regulatory Summary (July 2021)

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 27 Firms for Form CRS Failures

The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers have agreed to settle charges […]

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Monthly Regulatory Summary (June 2021)

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 (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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