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Tag: Compliance Bulletin

Monthly Regulatory Summary (April 2022)

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

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News Update: Biden Takes Step to Regulate Cryptocurrencies

March 2022 Overview & Summary President Biden signed an executive order on Wednesday, March 9 […]

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Monthly Regulatory Summary (February 2022)

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

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Monthly Regulatory Summary (January 2022)

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

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SEC Offers Guidance on Form CRS

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

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News Reminder: SEC Approves FINRA Rules Change

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

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Monthly Regulatory Summary (December 2021)

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

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Monthly Regulatory Summary (November 2021)

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

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Breaking News Update SR-FINRA-2020-041 Approval

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an […]

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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 […]

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