Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: SEC

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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 a joint statement in conjunction […]

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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 framework standard of conduct for […]

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Regulation Best Interest

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

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SEC Asks for Public Comments on How Characteristics of Digital Assets Impact the Custody Rule

President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a letter to President & Chief […]

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Part 1 of 3: It's 2017, What Are The SEC’s Priorities?

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By now, every CCO and their […]

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BlackRock Charged By SEC With Failing to Disclose Conflict of Interest

Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary […]

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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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Just in Time For The Holidays – The Gift of Cybersecurity Awareness

In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations. 

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Faulty Broker Dealer Gatekeeping Leads To SEC Enforcement Action

The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that apparently failed in their “gatekeeper […]

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Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end […]

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