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Regulatory News Update: SEC Marketing Rule Risk Alert

What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]

SEC Charges Five More Investment Advisers for Marketing Rule Violations

Last week the SEC announced that it had settled charges against five more registered investment […]

Monthly Regulatory Summary (March 2024)

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

Regulatory News Update: SEC Charges Investment Advisers with Advisers Act Violations for AI Statements

What: The SEC announced that it settled charges against two investment advisers for making false […]

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San Francisco-based Coinbase makes Wall Street Debut

KTVU's Alex Savidge spoke with Mitch Avnet, Managing Partner at Compliance Risk Concepts, about Coinbase......

Pros and cons of investing in bitcoin

Mitch Avnet, founder of Compliance Risk Concepts, explains the surging popularity behind bitcoin and whether......

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LATEST ARTICLES & VIDEOS

Regulatory News Update: SEC Marketing Rule Risk Alert

April 23, 2024

SEC Charges Five More Investment Advisers for Marketing Rule Violations

April 18, 2024

Monthly Regulatory Summary (March 2024)

April 4, 2024

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