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 ...
regulatory
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/c2VydmljZT1pbWFnZXMmc3JjPWh0dHBzJTNBJTJGJTJGc29tMm55cG9zdC5jb20lMkZ3cC1jb250ZW50JTJGdXBsb2FkcyUyRjIwMjUlMkYwNSUyRmhlYXJzYXktd2ViaW5hci0zLTMzNngyMjAuanBnJmNhY2hlTWFya2VyPTE3NTE2NDM5NDYtMTgxODcmdG9rZW49ZDFlYTdhN2FiY2U4ZTNjZQ.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 ...
Adviser and Broker-Dealer Annual Regulatory Deadlines
Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to remind you that for brokers and advisers with a Decemberfiscal year-end, annual amendments have ...
Investment Advisers 2018 Regulatory Review and 2019 Outlook
With 2018 in the rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to ...
Annual Broker-Dealer Regulatory Review and 2019 Outlook
With 2018 behind us and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of 2018 in an effort to anticipate what this ...
Steve Brown, former Senior Director within PWC’s Risk and Regulatory Practice, to lead Broker-Dealer Client Services
Compliance Risk Concepts LLC (“CRC”) today announced that Steve Brown is joining the compliance professional services organization as Director of Broker-Dealer Client Services. Steve brings ...
SEC’s Crenshaw slams Ripple settlement, warns of ‘regulatory vacuum’
A crypto-skeptical commissioner at the US Securities and Exchange Commission has blasted her agency over its settlement letter that could finally end the Ripple legal saga. The SEC and Ripple ...
Monthly Regulatory Review and Outlook (October 2020)
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 in ...
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