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Stay Up to Date With CRC Blog

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.
Monthly Regulatory Summary (April 2022)

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

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Monthly Regulatory Summary (March 2022)

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

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News Update: Biden Takes Step to Regulate Cryptocurrencies

March 2022 Overview & Summary President Biden signed an executive order on Wednesday, March 9 […]

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Monthly Regulatory Summary (February 2022)

Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is […]

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Monthly Regulatory Summary (January 2022)

Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is […]

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SEC Offers Guidance on Form CRS

Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]

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News Reminder: SEC Approves FINRA Rules Change

Overview In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

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News Update: JP Morgan to pay $200M for Electronic Recordkeeping Lapses

December 2021 Overview & Summary JP Morgan has agreed to pay the SEC and CFTC […]

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Monthly Regulatory Summary (December 2021)

Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is […]

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Monthly Regulatory Summary (November 2021)

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

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