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Content is King! At CRC, we aim to provide our “followers” with critical and timely information in a very straightforward and practical manner. We don’t believe in the regurgitation of regulatory changes and hot topics. Our goal is to provide insight and guidance as to how each Client can approach their compliance program in a strategic and thoughtful manner, enabling long term sustainable success.
Regulatory News Update: SEC Probes Investment Adviser Electronic Communications

September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]

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Monthly Regulatory Summary (August 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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Regulatory News Update: SEC Announces Rule Proposal Targeting AI-Driven Conflicts of Interest

What: SEC voted in a split 3-2 decision on July 26th to release a proposal […]

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Monthly Regulatory Summary (July 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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SEC Recordkeeping Enforcement Continues to Result in Large Penalties for Off-Channel Communications

The list of firms that have been charged in less than 12 months with recordkeeping […]

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Monthly Regulatory Summary (June 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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Monthly Regulatory Summary (May 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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Monthly Regulatory Summary (April 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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Monthly Regulatory Summary (February 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert […]

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