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

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

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

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

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

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

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

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

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

CRC partners with Thomson Reuters, the world's leading source of intelligent information. This is one […]