Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: CRC

10-Year Anniversary Letter From Mitch Avnet

To All our Amazing Clients: No matter how you measure it, we want to express […]

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Compliance Risk Concepts Receives Strategic Investment from MidOcean Partners

NEW YORK--(BUSINESS WIRE)--Compliance Risk Concepts (“CRC”), through its parent company, Re-Sourcing Group, has received a significant investment […]

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Regulatory News Update: Proposed Amendment to FINRA 3240 (Borrowing From or Lending to Customers)

What: FINRA has proposed to amend Rule 3240 to strengthen the general prohibition against borrowing […]

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Regulatory News Update: SEC Adopts New Rule Enhancing Short Sale Disclosure

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

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SEC Adopts Amendments to Names Rule

On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]

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Regulatory News Update: SEC Sweep Initiative Targeting AI-Driven Investment Advisers

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

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Regulatory News Update: SIPC Nearing Launch of Broker-Dealer Portal

October 20, 2023 What: The Securities Investor Protection Corporation (“SIPC”) is nearing the launch of […]

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Celebrating a Decade of Success and Growth: Compliance Risk Concepts Turns 10

Celebrating our 10th anniversary this year, Compliance Risk Concepts (CRC) remains committed to helping businesses […]

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Monthly Regulatory Summary (September 2023)

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

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Regulatory News Update: Citadel Prepared to Take Legal Action Against SEC Amid WhatsApp Probe

September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]

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