Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Uncategorized

crc-monthly-regulatory-review-december-2020
Monthly Regulatory Review and Outlook (December 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, […]

Read More
Monthly Regulatory Review and Outlook (November 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, […]

Read More
Monthly Regulatory Review and Outlook (October 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, […]

Read More
final-news-update (1)
News Update: SEC fines Firm $100,000 for Failure to Maintain Text Messages

Background & Summary The Securities and Exchange Commission (“SEC”) entered an order (“Order”) against a broker-dealer for failing to retain text messages […]

Read More
The Silicon Review: “30 Fastest Growing Private Companies to Watch in 2020.”

The Silicon Review  "Compliance demands in the financial services sector are surging and the operational costs associated with hiring and […]

Read More
cropped-regbifinal-copy-
Regulation Best Interest

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for […]

Read More
Download Our Monthly Bulletin

Please complete the form below to download your copy of the CRC Monthly Bulletin.

Read More
Thank You For Your Interest

Thank you for contacting Compliance Risk Concepts. Download you Monthly report here.

Read More
Annual Investment Adviser Regulatory Review and Outlook

Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro. […]

Read More
Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy
magnifier