Compliance Risk Concepts @C_R_Concepts
Helping clients maintain balanced #compliance operational #riskmanagement programs & meet #regulatory expectations. A @JWMichaels Company. compliance-risk.com New York, NY Joined February 2013-
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The SEC and DOJ have charged the owner of several Pennsylvania investment firms in connection with a $770 million Ponzi scheme that left investors with an estimated $400 million in losses. #Compliance #RiskManagement #RegulatoryUpdates complianceweek.com/regulatory-enf…
Find out more at compliance-risk.com #Compliance #RiskManagement #RegulatoryCompliance #ComplianceConsulting
This case underscores the importance of strong supervisory systems, suitability reviews, and clear conflict-of-interest controls. For firms, proactive oversight isn’t just regulatory—it’s reputational. #Compliance #RiskManagement #RegulatoryOversight investmentnews.com/regulation-and…
We assist clients in conducting Control Room framework assessments in the handling of MNPI and provide recommendations for developing, designing and implementation. Click below to learn more about our Service Model & Verticals: compliance-risk.com/service/contro… #ControlRoomCompliance
Find out more at compliance-risk.com
A major settlement highlights ongoing accountability in one of the largest global financial frauds of the century. Over $300 million will be paid to resolve claims tied to transactions involving Malaysia’s 1MDB sovereign-wealth fund. 🔗 Read more: wsj.com/finance/jpmorg…
We believe it is vital to take a proactive and risk-based approach toward compliance with regulatory guidance and oversight from FinCEN, state regulators, the SEC, and FINRA. Learn more: compliance-risk.com/service/money-… #AML #KYC #FinCEN #RegulatoryCompliance
That’s our exact style! #MemeMonday #Compliance #ComplianceConsulting #Advisory #CRCOyster
Find out more at compliance-risk.com #ComplianceConsulting #Compliance #RiskManagement #RegulatoryCompliance #Governance #RegulatoryChange
This case is another reminder of how fraud schemes can take unexpected forms and why thorough due diligence, transparency, and ongoing oversight are essential in protecting investors and maintaining market integrity. complianceweek.com/regulatory-enf…
The SEC recently charged two individuals in connection with a $275 million Ponzi-like scheme involving water vending machines, defrauding more than 250 investors over several years.
CRC partners with clients’ Compliance and Research teams during reporting season, early in the morning, late at night, or whenever your Compliance team is short-staffed to get research out quickly and efficiently. Learn more: compliance-risk.com/service/resear… #ComplianceConsulting
The SEC’s latest enforcement action highlights that investor fairness and transparency remain top priorities, even with the Private Fund Adviser Rules vacated. 👉 What should CCOs do now? Read our full update here: compliance-risk.com/sec-enforcemen…
We are CRC-Oyster #MemeMonday #ComplianceMeme #ComplianceJoke #ComplianceHumor
A barred investment adviser and former TV pundit has been sentenced to five years in prison for defrauding investors. This case underscores the importance of strong compliance frameworks and vigilant oversight across the financial services industry. investmentnews.com/regulation-and…
2025’s digital asset landscape is shifting—policy tone has changed, but the legal foundation remains. RIAs & BDs must embed crypto into core compliance, not treat it as an experiment. Innovation ≠ regulatory evasion. #DigitalAssets #Compliance compliance-risk.com/digital-assets…
CRC partners with Financial Institutions to maintain their business and execute on their strategic roadmap. We build sound front to back-office infrastructure to support your new and existing business. Learn more about our OTBE Services: compliance-risk.com/service/otbe/
CRC partners with Financial Institutions to maintain their business and execute on their strategic roadmap. We build sound front to back-office infrastructure to support your new and existing business. Learn more about our OTBE Services: compliance-risk.com/service/otbe/
Cases like this reinforce why rigorous vetting, ongoing oversight, and a culture of transparency are essential to protecting clients and safeguarding firm reputations. #Compliance #RegulatoryUpdate #FINRA #RiskManagement #WealthManagement thewealthadvisor.com/article/regula…
To be truly effective, a good compliance consultant must know and love both. #MemeMonday #ComplianceMeme #ComplianceJoke #ComplianceHumor #Compliance #ComplianceConsulting #RiskManagement
Richard Bistrong @RichardBistrong
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81 Followers 89 Following First of all, Papa Smurf didn't create Smurfette. Gargamel did. She was sent in as Gargamel's evil spy with the intention of destroying the Smurf village.
Cointelegraph @Cointelegraph
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