Compliance Bulletin

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the [...]

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the [...]

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 [...]

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has [...]

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- for financial [...]

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers to expand the information they report on Form ADV about [...]

As the second quarter of 2017 draws to a close we’ve put graduations behind us and for some of us, we eagerly await the start of summer camp, others plan day trips to the beach (raise your hand [...]

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

Assessing Market-Wide Risks Spotlight On Talent: Portia Amato, Compliance Officer  This is the third installment of our 3-part series, It’s 2017, What Are The SEC’s Priorities?, in which we [...]

Risks Specific To Senior Investors and Retirement Investments Spotlight On Talent: Portia Amato, Compliance Officer  Now that we have examined the SECs’ focus on Retail Investors (Part 1: It’s [...]