As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Becci Sollosy is an accomplished compliance professional with over 18 years of compliance experience. Becci has broad industry experience and has previously worked at both broker dealers and investment advisers as well as having four years of consulting experience prior to joining CRC. Becci has extensive knowledge of the rules and regulations of the Investment Adviser’s Act of 1940. Her experience includes conducting 206(4)7 annual reviews, compliance forensic testing, developing and managing compliance calendars, reviewing marketing literature, regulatory filings, Code of Ethics compliance, and employee training. Becci holds her FINRA Series 7 and 24 licenses.