Category: Industry News

Breaking News Update SR-FINRA-2020-041 Approval

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an order[1] dated July 30, 2021, the […]

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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 have agreed to settle charges […]

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News Update: SEC Issues Statement Regarding Digital Assets

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

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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 past decade has brought a […]

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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 article titled With Opioid Charges, […]

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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 letter to President & Chief […]

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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 services sector, Compliance Risk Concepts […]

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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 Jeff Horowitz as the Cryptocurrency […]

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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 risk management services, has launched […]

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finra-notice-18-20
News Update: FINRA Notice 18-20

Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement in digital currency. This notice […]

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