Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]

Overview In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

December 2021 Overview & Summary JP Morgan has agreed to pay the SEC and CFTC […]

Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is […]

Sold with Jim Ryan. In this episode of CRC-TV, we hit the streets of NYC […]

I Want My CRC-TV! Always ahead of the curve, Compliance Risk Concepts explores the endless […]

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important […]

It’s a bird. It’s a plane. It’s the Compliance Crusader! Today is the day! Join […]