Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Tag: Investment Advisor Compliance Consultants

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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The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.

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

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