Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]

Overview In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

December 2021 Overview & Summary JP Morgan has agreed to pay the SEC and CFTC […]

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

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

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

FINRA Regulatory Notices Per Notice 21-31, FINRA has established a new Supplemental Liquidity Schedule (SLS). The new […]

September 2021 Overview & Summary FINRA announced that it is conducting a review of firm […]

Compliance Risk Concepts LLC (“CRC”) today announced that Steve Brown is joining the compliance professional […]

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]