September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]

September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]

September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]

What: SEC voted in a split 3-2 decision on July 26th to release a proposal […]

The list of firms that have been charged in less than 12 months with recordkeeping […]

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

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

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

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

Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert […]