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Content is King! At CRC, we aim to provide our “followers” with critical and timely information in a very straightforward and practical manner. We don’t believe in the regurgitation of regulatory changes and hot topics. Our goal is to provide insight and guidance as to how each Client can approach their compliance program in a strategic and thoughtful manner, enabling long term sustainable success.
Monthly Regulatory Summary (April 2024)

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

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Regulatory News Update: SEC Marketing Rule Risk Alert

What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]

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SEC Charges Five More Investment Advisers for Marketing Rule Violations

Last week the SEC announced that it had settled charges against five more registered investment […]

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Monthly Regulatory Summary (March 2024)

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

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Regulatory News Update: SEC Charges Investment Advisers with Advisers Act Violations for AI Statements

What: The SEC announced that it settled charges against two investment advisers for making false […]

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Monthly Regulatory Summary (February 2024)

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

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Regulatory News Update: Deadline Approaching for Certain Proprietary Trading Broker-Dealers to Join FINRA via the Short-Form Membership Application Process

As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]

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Monthly Regulatory Summary (January 2024)

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

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Regulatory News Update: FinCEN Notice of Proposed Rulemaking for Registered Investment Advisers and Exempt Reporting Advisers

What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]

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10-Year Anniversary Letter From Mitch Avnet

To All our Amazing Clients: No matter how you measure it, we want to express […]

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