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

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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Monthly Regulatory Summary (August 2021)

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

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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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Monthly Regulatory Summary (July 2021)

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

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News Update: SEC Fines 27 Firms for Form CRS Failures

The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers […]

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News Update: SEC Issues Statement Regarding Digital Assets

Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]

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2019 Annual FINRA Conference
2019 FINRA Annual Conference

CRC is delighted to sponsor the upcoming 2019 FINRA Annual Conference on May 15-17 in […]

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Investment Advisers 2018 Regulatory Review and 2019 Outlook

With 2018 in rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to anticipate what this New Year may bring for Investment Advisers.

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Regulatory Compliance Series - Data Integrity and Governance [whitepaper]

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational […]

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Cybersecurity: High Profile Exam Priority for FINRA and the SEC

As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.

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