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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

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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.
Monthly Regulatory Summary (November 2023)

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

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Regulatory News Update: New FINRA “Residential Supervisory Location” (RSL) Approved by SEC

What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]

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Regulatory News Update: FINRA Voluntary Remote Inspection Pilot Program Approved by the SEC

What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]

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Monthly Regulatory Summary (October 2023)

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

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Regulatory News Update: SIPC Nearing Launch of Broker-Dealer Portal

October 20, 2023 What: The Securities Investor Protection Corporation (“SIPC”) is nearing the launch of […]

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Sec Publishes 2024 Exam Priorities
Regulatory News Update: SEC Publishes 2024 Exam Priorities

October 19, 2023 What: The Securities and Exchange Commission (SEC) announced its examination priorities for […]

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Celebrating a Decade of Success and Growth: Compliance Risk Concepts Turns 10

Celebrating our 10th anniversary this year, Compliance Risk Concepts (CRC) remains committed to helping businesses […]

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Monthly Regulatory Summary (September 2023)

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

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Regulatory News Update: Citadel Prepared to Take Legal Action Against SEC Amid WhatsApp Probe

September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]

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News Update: SEC Provides Road Map for Investment Advisory Firm Examinations

September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]

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