Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Industry News

SEC Fines 27 Firms for Form CRS Failures

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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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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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 […]

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financial-regulations

ADV Regulatory Changes For Investment Advisers

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

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