What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]
Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement […]
Hiring the right talent, maintaining accountability for those you hire, and managing through the complex […]
TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement […]
Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June […]
The world of research sure has changed over the last few decades. When the author […]
According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the […]
Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New […]
Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former […]
Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find […]
As we approach the Thanksgiving Holiday, the end of 2017 will be here before we […]