The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]
What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and […]
Robert Taffet joins the enterprise risk and compliance firm to expand in-house resources for its […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
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On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]