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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.

Fincen notice of proposed rulemaking for proposed rulemaking for investment advisers

Regulatory News Update: FinCEN Notice of Proposed Rulemaking for Registered Investment Advisers and Exempt Reporting Advisers

What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]

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Banner of 10 Year Anniversary Letter from Mitch Avent with Mitch Avnet Photo on right side

10-Year Anniversary Letter From Mitch Avnet

To All our Amazing Clients: No matter how you measure it, we want to express […]

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Compliance Risk Concepts Receives Strategic Investment From MidOcean Partners Titled on Building background on black light overlay

Compliance Risk Concepts Receives Strategic Investment from MidOcean Partners

NEW YORK--(BUSINESS WIRE)--Compliance Risk Concepts (“CRC”), through its parent company, Re-Sourcing Group, has received a significant investment […]

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Finaa proposed amendment to finra 434.

Regulatory News Update: Proposed Amendment to FINRA 3240 (Borrowing From or Lending to Customers)

What: FINRA has proposed to amend Rule 3240 to strengthen the general prohibition against borrowing […]

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Compliance Highlight: Finra issues 2020-2024 regulatory oversight report.

Compliance Highlight: FINRA Issues 2024 Regulatory Oversight Report

Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]

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Monthly regulatory summary december 2023.

Monthly Regulatory Summary (December 2023)

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

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SEC Adopts New Rule Enhancing Short Sale Disclosure

Regulatory News Update: SEC Adopts New Rule Enhancing Short Sale Disclosure

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

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Sec adopts amendments to names rule title with building image on right side

SEC Adopts Amendments to Names Rule

On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]

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Sec sweep initiative targeting al-driven investment advisors.

Regulatory News Update: SEC Sweep Initiative Targeting AI-Driven Investment Advisers

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

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Monthly regulatory summary november 2020.

Monthly Regulatory Summary (November 2023)

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

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New finra residential supervisor location ssl approved by sec.

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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Finnair voluntary remote inspection pilot program approved by the sce.

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)

Monthly Regulatory Summary (October 2023)

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

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sipc

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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Compliance Risk Concepts Turns 10 Title into Buildings background with light black overlay

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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