Monthly Regulatory Summary (March 2024)
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 ...
regulatory
Regulatory News Update: SEC Marketing Rule Risk Alert
What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule items contained in Form ADV as well as related discussions concerning the Compliance Rule ...
Monthly Regulatory Summary (April 2024)
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 ...
Regulatory News Update: Court of Appeals Vacates SEC Private Fund Rule in its Entirety
The United States Court of Appeals for the Fifth Circuit has vacated the Securities and Exchange Commission's (“SEC”) rule aimed at enhancing the regulation of private fund advisers (“Private ...
Regulatory News Update: SEC Adopts Changes to the Definition of Dealer and Government Securities Dealer
What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government securities dealer”. The final rules require certain market participants that take on ...
AuditBoard Launches Regulatory Compliance Management Tool
AuditBoard has introduced RegComply, a new solution for regulatory compliance management designed to help organizations navigate changing regulations with integrated risk insights. The ...
AI’s Game-Changing Potential in Banking: Are You Ready for the Regulatory Risks?
Artificial Intelligence (AI) and big data are having a transformative impact on the financial services sector, particularly in banking and consumer finance. AI is integrated into ...
Monthly Regulatory Summary (July 2024)
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 ...
Regulatory News Update: The Trend Continues – SEC Fines Twenty-Six Firms More Than $390 Million Combined for Recordkeeping Failures
What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers) for widespread and longstanding failures by ...
Monthly Regulatory Summary (August 2024)
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 ...