Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Author: CRC

Regulatory News Update: FinCEN Notice of Proposed Rulemaking for Registered Investment Advisers and Exempt Reporting Advisers

What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]

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10-Year Anniversary Letter From Mitch Avnet

To All our Amazing Clients: No matter how you measure it, we want to express […]

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Compliance Risk Concepts Receives Strategic Investment from MidOcean Partners

NEW YORK--(BUSINESS WIRE)--Compliance Risk Concepts (“CRC”), through its parent company, Re-Sourcing Group, has received a significant investment […]

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Regulatory News Update: Proposed Amendment to FINRA 3240 (Borrowing From or Lending to Customers)

What: FINRA has proposed to amend Rule 3240 to strengthen the general prohibition against borrowing […]

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FINRA (1)
Compliance Highlight: FINRA Issues 2024 Regulatory Oversight Report

Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]

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regulatorynews update
Monthly Regulatory Summary (December 2023)

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

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Regulatory News Update: SEC Adopts New Rule Enhancing Short Sale Disclosure

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

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SEC Adopts Amendments to Names Rule

On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]

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Regulatory News Update: SEC Sweep Initiative Targeting AI-Driven Investment Advisers

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

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Monthly Regulatory Summary (November 2023)

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

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