Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: blockchain assets

News Update: SEC Fines 27 Firms for Form CRS Failures

The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers […]

Read More
crcblockchainphoto1
News Update: SEC Issues Statement Regarding Digital Assets

Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]

Read More
mitch
The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]

Read More

CRC NEWSLETTER

Stay updated with all latest updates,upcoming events & much more.

Subscribe NowSupport
Copyright Compliance Risk Concepts | All Rights Reserved © 2023 | Privacy Policy
magnifier