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Category: Broker Dealer

Annual Broker-Dealer Regulatory Review and 2019 Outlook
Annual Broker-Dealer Regulatory Review and 2019 Outlook

With 2018 behind us and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of 2018 in an effort to anticipate what this year may bring for Broker-Dealers.

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Due Diligence Works, Inc.
Mitch Avnet Discusses the Evolution of Communication with DDW

Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of […]

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Adviser and Broker-Dealer Annual Regulatory Deadlines
Adviser and Broker-Dealer Annual Regulatory Deadlines

Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to […]

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symposium
Monitoring and Surveillance Symposium for Broker-Dealers Recap

To help navigate the wide array of compliance and risk management issues impacting the financial […]

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ifp-selects-crc
IFP Selects CRC For New Broker-Dealer Filing

TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement […]

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research-this-with-crc
Research This! Complex Future for Research Analysts

The world of research sure has changed over the last few decades. When the author […]

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regulatory-focus-cryptocurrency
Regulatory Focus: Cryptocurrency

According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the […]

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fincen-customer-due-diligence
Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule

Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New […]

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annual-broker-dealer-kg
Annual Broker-Dealer Regulatory Review and Outlook

Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find […]

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talk-turkey
Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements

As we approach the Thanksgiving Holiday, the end of 2017 will be here before we […]

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