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

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

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

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

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

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

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