As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory […]
With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the […]
On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form […]
NEW YORK (NEW YORK) | CHICAGO (ILLINOIS) Compliance Risk Concepts ("CRC"), a top-tier compliance consulting […]
Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services Join CRC […]
NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts ("CRC"), a top tier compliance […]
When I was a freshman at DeSales University my younger, teenaged sister called me one […]
If your firm is struggling with the management and analysis of conflicts of interest, […]
As the second quarter of 2017 draws to a close we’ve put graduations behind us […]
BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance […]
