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.
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News Update: FINRA Notice 18-20

Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement in digital currency. This notice addressed the fact that the market for digital assets, including cryptocurrencies and virtual coins, has grown significantly in recent months, particularly amongst retail investors. The regulator reiterated its growing concerns specific to investor protection, including […]

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Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- for financial institutions. Compliance Risk Concepts (CRC) partnered with Sterling Talent Solutions, a leader in global background screening, to publish the white paper, “Employee, Client and Third Party Due […]

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IFP Selects CRC For New Broker-Dealer Filing

TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement its broker-dealer filing. The Tampa-based RIA announced on April 6 its separation from LPL Financial in favor of creating its own broker-dealer (BD). Establishing a BD requires the filing of a New Membership Application (NMA) with the Financial Industry Regulatory […]

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Sterling FinServ Summit: Mitch Avnet Joins Fireside Chat with Former FINRA Chief of Enforcement, J. Bradley Bennett

Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June 13th for the Sterling Financial Services Summit: Human Capital and Compliance - Bridging the Gap. This afternoon thought leadership session will include Financial Services Executive from Human Resources, Talent Acquisition and Compliance. Date: Wednesday, June 13, 2018 Time: Time: 12:30 pm […]

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Research This! Complex Future for Research Analysts

The world of research sure has changed over the last few decades. When the author Jeanine Oburchay, CRC Director of Research Advisory Practice, first started in the field in 1987, equity research analysts worked primarily for investment banks and broker-dealers. Landing a gig at a bulge bracket firm meant that as long as you delivered […]

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Regulatory Focus: Cryptocurrency

According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the sale of products in the cryptocurrency and initial coin offering markets and examine for regulatory compliance in instances where products are determined to be securities. It is expected that the SEC, and likely FINRA, are aiming to treat cryptocurrencies as […]

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Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule

Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New Requirements. It offers a snack-size snapshot of key points from our more detailed regulatory release Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule, that outlines FinCEN’s new Customer Due Diligence (CDD) Final Rule, in advance of its effective date on […]

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Annual Investment Adviser Regulatory Review and Outlook

Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro. As Chairman of the U.S. Securities and Exchange Commission, Mary L. Schapiro helped strengthen and revitalize the agency; oversaw a more rigorous enforcement program; and, shaped new rules by which Wall Street must play. Chairman […]

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Annual Broker-Dealer Regulatory Review and Outlook

Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find ourselves in a position to look back on what has transpired over the course of the past year in an effort to anticipate what the New Year may bring for Broker-Dealers. In the following Annual Broker-Dealer Regulatory Review and Outlook […]

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Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements

As we approach the Thanksgiving Holiday, the end of 2017 will be here before we know it! As former Chief Compliance Officers, CRC completely understands year-end pressures for FINRA registered broker-dealers and the need/importance of executing and completing mandatory annual Compliance requirements. Over the last several years, we’ve helped many Broker-Dealers complete each of the […]

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