Monthly Regulatory Summary (July 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
Asia-Pacific insurers rethink risk amid regulatory and cyber pressures
“The risk landscape for Australian insurers has never been more complex, with heightened cybersecurity threats, macroeconomic and geopolitical uncertainty, continued ...
Airtel Chairman Sunil Mittal Urges Government to Introduce Regulatory Framework for AI, Crypto
Airtel Founder and Chairman Sunil Mittal has expressed support for regulation of crypto and artificial intelligence (AI) in India. Speaking at an event on Thursday, Mittal urged the government to ...
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 ...
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 ...
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