Where We Have Been, Where the Signals Point, and What to Do Before Year-End The […]
There is a comfortable fiction embedded in how most registered investment advisers and broker-dealers think about material nonpublic […]
The recent FinCEN advisory directing financial institutions to detect and report suspicious activity linked to […]
The CRC-Oyster Roundtable on State Securities Regulatory Priorities for Broker-Dealers and Investment Advisers There's a […]
Artificial intelligence has arrived in wealth management not as a future consideration but as a present operational reality. […]
The CFTC's May 2026 approval of Bitcoin perpetual futures on a registered U.S. exchange has immediate NFA compliance implications for […]
What the current surge in high-profile public offerings means for FINRA member firms and SEC-registered […]
Spring Cleaning There is something deceptively tidy about the word "recordkeeping." It conjures images of […]
How CRC Approaches Trade Monitoring and Surveillance for Financial Services Firms In an environment where regulatory […]
Artificial intelligence is increasingly becoming part of how financial institutions communicate with clients. From automated […]
Regulatory Update May 2026 On May 19, 2026, SEC Chairman Paul Atkins released two companion […]
A new CRC-Oyster Roundtable brings together industry leaders and regulatory experts to unpack the fast-moving […]
A CRC Service Spotlight Electronic communications (eComms) monitoring continues to be one of the most resource-intensive and scrutinized areas […]
Anti-money laundering (AML) compliance has long been a foundational obligation for broker-dealers and a growing […]
State Trust Companies, Regulatory Evolution, and the Long Journey Toward Durable Digital Asset Markets How […]
