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Compliance Risk Concepts

December 4, 2020

Compliance Rule Alert With Compliance Risk Concepts

March 30, 2020

Business Continuity & Operating Appropriately Throughout The Coronavirus Pandemic

On the heels of FINRA’s notice regarding pandemic-related business continuity measures, CRC would like to take this opportunity to remind all financial services clients that now […]
March 2, 2020

The Shield Act

On July 25, 2019, the Stop Hacks and Improve Electronic Data Security Act (SHIELD Act) was signed into law (see Update S5575B). The SHIELD Act expands the […]
December 19, 2019

SEC Proposes Changes To Advertising Rule

The Securities and Exchange Commission (“SEC” or “Commission”) recently published a proposal for significant changes to the rules and guidance surrounding the marketing and advertising activities […]
November 3, 2019

New CRC TV Video: “A Risky Business” with Scott Brown

In this episode of CRC TV, we interview our Compliance and Financial Operations Professional, Scott Brown, who discusses his upbringing in Queens, NY during the 1970s […]
October 3, 2019

September 2019 Monthly Regulatory Review and Outlook

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 […]
July 19, 2019

None of Your BI Business? – The Impact of Regulation BI on Broker-Dealers and Investment Advisers

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an […]
March 5, 2019

Compliance Technology: The Quest for the Ideal Solution

This is the fourth of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares the process of building a […]
February 20, 2019

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 […]