What the current surge in high-profile public offerings means for FINRA member firms and SEC-registered […]
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.
Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of […]
Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to […]
To help navigate the wide array of compliance and risk management issues impacting the financial […]
TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement […]
The world of research sure has changed over the last few decades. When the author […]
According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the […]
Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New […]
Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find […]
As we approach the Thanksgiving Holiday, the end of 2017 will be here before we […]
BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance […]
Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head […]
With the end of 2016 just days away, 2017 will be here before you know […]
Several times over the past decade FINRA has indicated they may be considering making it […]
