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 ...
regulatory
Regulatory News Update: SEC Charges 9 RIAs Related to Ad Rule Violations
The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements containing untrue or unsubstantiated claims or improper testimonials, ...
Regulatory News Update: The SEC Charges 12 Municipal Advisors with Recordkeeping Violations
What: The SEC announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications. Who: The following firms ...
Regulatory News Update: SEC Charges 12 Firms with Recordkeeping Violations
What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered BD/IA) for failures by the firms and their personnel to maintain and ...
Monthly Regulatory Summary (September 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 ...
Monthly Regulatory Summary (October 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 ...
Monthly Regulatory Summary (November 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 ...
Crypto industry is not experiencing regulatory capture — Attorney
Brandon Ferrick, general counsel at Douro Labs, said that the Securities and Exchange Commission's (SEC) openness to public input on crypto policy and their roundtable discussions are positive ...
Monthly Regulatory Summary (December 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 ...
Synthetic chemicals and chemical products require a new regulatory and legal approach to safeguard children’s health
Nations must start testing and regulating chemicals and chemical products as closely as the current systems that safeguard prescription drugs or risk rising rates of chronic illnesses among ...