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

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

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an […]

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

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

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

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

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.

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

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.