As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]
What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]
The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and […]
Robert Taffet joins the enterprise risk and compliance firm to expand in-house resources for its […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
This is a reminder that the amendments to Rule 203A-2(e) under the Investment Advisers Act […]
