Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Tag: CRC

Monthly Regulatory Summary (September 2022)

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

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Monthly Regulatory Summary (August 2022)

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

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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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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 (September 2021)

FINRA Regulatory Notices Per Notice 21-31, FINRA has established a new Supplemental Liquidity Schedule (SLS). The new […]

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News Update: FINRA to Sweep BDs on Use of Social Media Influencers to Refer Clients

September 2021 Overview & Summary FINRA announced that it is conducting a review of firm […]

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Regulation Best Interest

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

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Mitch Avnet
A Note from Mitch Avnet

One of the primary drivers for Compliance Risk Concepts (CRC) is to raise the awareness […]

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