Compliance Risk Concepts: Senior Compliance Consultants & Executives.
Headquarters: NY
NY Office
Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
View Details
Chicago
IL Office
  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
View Details
Houston
TX Office
View Details
Beverly Hills
CA Office
View Details
Irvine
CA Office
View Details
Portland
OR Office
View Details

Tag: SEC

Monthly Regulatory Summary (October 2021)

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

Read More
Monthly Regulatory Summary (September 2021)

FINRA Regulatory Notices Per Notice 21-31, FINRA has established a new Supplemental Liquidity Schedule (SLS). The new […]

Read More
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 […]

Read More
Monthly Regulatory Summary (August 2021)

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

Read More
Breaking News Update SR-FINRA-2020-041 Approval

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an […]

Read More
Monthly Regulatory Summary (July 2021)

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

Read More
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 […]

Read More
crcblockchainphoto1
News Update: SEC Issues Statement Regarding Digital Assets

Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]

Read More
mitch
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 […]

Read More
cropped-regbifinal-copy-
Regulation Best Interest

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

Read More
Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy
magnifier