Category: Industry News

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ALERT: FINRA Cyber-Security Sweep

In light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms' IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose FINRA is now conducting an assessment of firms' approaches to managing cyber-security threats.The four broad goals that you need to know about FINRA's Cyber Security assessment...

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2014 National Examination Priorities

On January 9th, the SEC published it's National Examination Priorities for 2014. On the top of their list - Fraud Detection and Prevention, Corporate Governance, Conflicts of Interest, Enterprise Risk Management, Technology and issues specific to Dual Registrants.

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Three Investment Advisers Sanctioned for Repeatedly Ignoring Problems with their Compliance Programs

The recent action taken by the SEC against three Investment Advisers should serve as a “wake up call” for the IA sector. IAs should utilize the recent sanctions as a “road map” / “checklist” for their own internal controls.

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Four Points Strives For Regulatory Standard Of Excellence By Partnering With Compliance Risk Concepts

Four Points Capital Partners Llc Announces Partnership With CRC, to create and shape its Compliance Culture in the early stages of its evolution.

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Broker-Dealers: Is Your “Regulatory” House in Order?

CRC Service Spotlight: 3012 / 3130 Testing and Certification Annually, FINRA member broker-dealers are required to test and verify the […]

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SEC 2013 Exam Priorities Announced...

Corporate Governance and Enterprise Risk Management are high on the list. Read More.

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Developing Metrics

The ability for Compliance Departments to effectively monitor, measure program effectiveness and provide impactful analysis / reporting is more critical […]

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Regulatory Change Management

Given the depth and breadth of regulatory change in our industry, organizations are challenged more than ever in terms of […]

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