Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: FINRA

Monthly Regulatory Summary (February 2022)

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

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Monthly Regulatory Summary (January 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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News Update: JP Morgan to pay $200M for Electronic Recordkeeping Lapses

December 2021 Overview & Summary JP Morgan has agreed to pay the SEC and CFTC […]

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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 (November 2021)

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

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Monthly Regulatory Summary (October 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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