Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
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  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
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Category: Industry News

News Update: FINRA to Sweep BDs on Use of Social Media Influencers to Refer Clients

September 2021 Overview & Summary FINRA announced that it is conducting a review of firm […]

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Breaking News Update SR-FINRA-2020-041 Approval

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an […]

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News Update: SEC Fines 27 Firms for Form CRS Failures

The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers […]

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crcblockchainphoto1
News Update: SEC Issues Statement Regarding Digital Assets

Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]

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COMPLIANCE ROCK STAR
The Compliance Boom In Banking | The Economist

(The Economist | May 2019) Excerpt from the article Rise of the No Men The […]

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compliance pharma
DOJ Signals Compliance Fixation with Recent Opioid Charges

Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 […]

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bitcoin
SEC Asks for Public Comments on How Characteristics of Digital Assets Impact the Custody Rule

President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a […]

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James K Ryan
James K. Ryan, Former SVP of Sales at Reg Ed to Spearhead Business Development Efforts at Compliance Risk Concepts LLC

NEW YORK, NY /PRESS RELEASE/ - Building on its leadership position in the compliance professional […]

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coinbase-news
News Update: Coinbase Hires Jeff Horowitz to Lead Compliance Initiative as CCO

Coinbase, who recently acquired broker-dealer Keystone Capital Corp in June 2018, announced the addition of […]

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new crc website launch
Compliance Risk Concepts Launches New Website, Commemorating 5-Year Anniversary

Compliance Risk Concepts, LLC, a business-focused team of seasoned compliance professionals providing top tier compliance […]

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