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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.
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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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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