As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Four Points Capital Partners Llc Announces Partnership With CRC, to create and shape its Compliance Culture in the early stages of its evolution.
CRC Service Spotlight: 3012 / 3130 Testing and Certification Annually, FINRA member broker-dealers are required […]
As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal...
Summary: Dodd-Frank Trade Reconstruction Expert Panel INTRODUCTION On June 5th, 2014, Bloomberg Vault and Compliance […]