September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]
September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]
What: SEC voted in a split 3-2 decision on July 26th to release a proposal […]
The list of firms that have been charged in less than 12 months with recordkeeping […]
Founder and Managing Partner
Principal and Head of Execution Services
Principal and Chief Operating Officer
Principal and Head of Fund and Dealer Advisory
Thank you for contacting Compliance Risk Concepts. We will get in touch as soon as possible.