Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: Regulatory Compliance

SEC Charges Five More Investment Advisers for Marketing Rule Violations

Last week the SEC announced that it had settled charges against five more registered investment […]

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Monthly Regulatory Summary (March 2024)

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

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Regulatory News Update: SEC Charges Investment Advisers with Advisers Act Violations for AI Statements

What: The SEC announced that it settled charges against two investment advisers for making false […]

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Monthly Regulatory Summary (January 2024)

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

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Regulatory News Update: FinCEN Notice of Proposed Rulemaking for Registered Investment Advisers and Exempt Reporting Advisers

What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]

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10-Year Anniversary Letter From Mitch Avnet

To All our Amazing Clients: No matter how you measure it, we want to express […]

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Compliance Risk Concepts Receives Strategic Investment from MidOcean Partners

NEW YORK--(BUSINESS WIRE)--Compliance Risk Concepts (“CRC”), through its parent company, Re-Sourcing Group, has received a significant investment […]

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Monthly Regulatory Summary (November 2023)

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

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Regulatory News Update: New FINRA “Residential Supervisory Location” (RSL) Approved by SEC

What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]

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Regulatory News Update: SEC Probes Investment Adviser Electronic Communications

September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]

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