Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: Compliance Bulletin

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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 framework standard of conduct for […]

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WTF? Why are You Such a Fiduciary?

BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance Risk Concepts The Department of Labor (DOL) […]

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Part 1 of 3: It's 2017, What Are The SEC’s Priorities?

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By now, every CCO and their […]

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Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory […]

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Anti-Bribery Regulation and Enforcement: Are Things About to Change?

Spotlight On Talent: Dan Dorsky, Principal and Head of Anti-Corruption and Ethics These are fascinating times for U.S. and global […]

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Out With The Old...In With The New

COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant Why is January […]

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You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE […]

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Who You Callin' A Fiduciary???

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory The United […]

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Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered that many of our clients […]

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Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end […]

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