Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Author: CRC

Monthly Regulatory Summary (December 2024)

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

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Monthly Regulatory Summary (November 2024)

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

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Monthly Regulatory Summary (October 2024)

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

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Monthly Regulatory Summary (September 2024)

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

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Regulatory News Update: SEC Charges 12 Firms with Recordkeeping Violations

What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]

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Regulatory News Update: The SEC Charges 12 Municipal Advisors with Recordkeeping Violations

What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]

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Regulatory News Update: SEC Charges 9 RIAs Related to Ad Rule Violations

The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]

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Monthly Regulatory Summary (August 2024)

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

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Regulatory News Update: The Trend Continues – SEC Fines Twenty-Six Firms More Than $390 Million Combined for Recordkeeping Failures

What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and […]

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Compliance Risk Concepts Appoints Head of Operations, Technology and Business Execution Practice

Robert Taffet joins the enterprise risk and compliance firm to expand in-house resources for its […]

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