Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: SEC

Regulatory News Update: Citadel Prepared to Take Legal Action Against SEC Amid WhatsApp Probe

September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]

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News Update: SEC Provides Road Map for Investment Advisory Firm Examinations

September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]

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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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SEC Recordkeeping Enforcement Continues to Result in Large Penalties for Off-Channel Communications

The list of firms that have been charged in less than 12 months with recordkeeping […]

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Monthly Regulatory Summary (June 2023)

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

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Monthly Regulatory Summary (May 2023)

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

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Monthly Regulatory Summary (April 2023)

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

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Monthly Regulatory Summary (February 2023)

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

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The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert […]

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Monthly Regulatory Summary (January 2023)

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

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