Monthly Regulatory Summary (August 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
regulatory
Monthly Regulatory Summary (April 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
ADV Regulatory Changes For Investment Advisers
On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers to expand the information they report on Form ADV about ...
Annual Broker-Dealer Regulatory Review and Outlook
Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find ourselves in a position to look back on what has transpired over the course of the past year in an effort to ...
Annual Investment Adviser Regulatory Review and Outlook
Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro. As Chairman of the U.S. Securities and Exchange Commission, Mary L. ...
Regulatory Focus: Cryptocurrency – Compliance Risk Concepts
According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the sale of products in the cryptocurrency and initial coin offering markets and examine for regulatory ...
Monthly Regulatory Summary (April 2025)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of various FINRA, SEC, NFA, and FinCEN publications to assist our ...
Saudi Arabia ranks second among G20 in the ICT Regulatory Tracker Index
Saudi Gazette report RIYADH — Saudi Arabia achieved an exceptional accomplishment by securing second place among the G20 countries in the ICT Regulatory Tracker index issued by the UN ...
Regulatory Update: SEC and FINRA Withdraw 2019 Guidance on Broker-Dealer Custody of Digital Assets
May 16, 2025 Regulatory Background The 2019 Joint Staff Statement was issued to address the application of federal securities laws to the custody of digital assets by broker-dealers. It ...
[Webinar] Designing a Proactive Regulatory Approach To Advisor Texting
![[Webinar] Designing a Proactive Regulatory Approach To Advisor Texting](https://som2nypost.com/wp-content/plugins/phastpress/phast.php/c2VydmljZT1pbWFnZXMmc3JjPWh0dHBzJTNBJTJGJTJGc29tMm55cG9zdC5jb20lMkZ3cC1jb250ZW50JTJGdXBsb2FkcyUyRjIwMjUlMkYwNSUyRmhlYXJzYXktd2ViaW5hci0zLTMzNngyMjAuanBnJmNhY2hlTWFya2VyPTE3NDc2MjM0MDktMTgxODcmdG9rZW49ZGIyNTQ3ODZmMzMxOTg3Yw.q.jpg)
A proactive approach is best when it comes to advisor-client texting. Join us to learn why! Join our webinar on November 7th at 1pm EDT when Mitch Avnet of Compliance Risk Concepts ("CRC" ) goes ...
- 1
- 2
- 3
- …
- 10
- Next Page »