Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Compliance Bulletin

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The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for […]

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Regulation Best Interest

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for […]

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Investment Advisers 2018 Regulatory Review and 2019 Outlook

With 2018 in rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to anticipate what this New Year may bring for Investment Advisers.

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FINRA 2018 Exam Findings Report and Regulatory Update Reminder
FINRA 2018 Exam Findings Report and Regulatory Update Reminder

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to […]

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Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been […]

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ADV Regulatory Changes For Investment Advisers

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers […]

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Summer Fun and Q3 Federal Filings For Investment Advisers

As the second quarter of 2017 draws to a close we’ve put graduations behind us and for some of us, […]

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WTF? Why are You Such a Fiduciary?

BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance Risk Concepts The Department of Labor (DOL) […]

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Part 3 of 3: It's 2017, What Are The SEC’s Priorities?

Assessing Market-Wide Risks Spotlight On Talent: Portia Amato, Compliance Officer  This is the third installment of our 3-part series, It's […]

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Part 2 of 3: It's 2017, What Are The SEC’s Priorities?

Risks Specific To Senior Investors and Retirement Investments Spotlight On Talent: Portia Amato, Compliance Officer  Now that we have examined […]

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