What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]
To All our Amazing Clients: No matter how you measure it, we want to express […]
NEW YORK--(BUSINESS WIRE)--Compliance Risk Concepts (“CRC”), through its parent company, Re-Sourcing Group, has received a significant investment […]
What: FINRA has proposed to amend Rule 3240 to strengthen the general prohibition against borrowing […]
Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]
On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]
December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]
What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
October 20, 2023 What: The Securities Investor Protection Corporation (“SIPC”) is nearing the launch of […]
October 19, 2023 What: The Securities and Exchange Commission (SEC) announced its examination priorities for […]
Celebrating our 10th anniversary this year, Compliance Risk Concepts (CRC) remains committed to helping businesses […]
