Author Archives: Compliance Risk Concepts

Information Governance Financial Regulatory Compliance Roundtable

Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE Information Governance Financial Regulatory Compliance Roundtable. Date: Wednesday, January 25, 2017 Time: 12:00 pm – 3:30 pm ET (full lunch served with happy hour after) Location: The Lambs … Continue reading

David J. Amster hired as Principal and Head of its Fund and Dealer Advisory practice

Building on its team of compliance advisory professionals, Compliance Risk Concepts, LLC (CRC) has hired of David J. Amster as Principal and Head of its Fund and Dealer Advisory practice. “David’s professionalism and breadth of buy-side and sell-side product knowledge … Continue reading

Regulatory Compliance Series – Data Integrity and Governance [whitepaper]

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges on FINRA registered broker-dealers. Many of these challenges are related to the governance and control environments, specific to the data that is … Continue reading

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