CRC Service Spotlight: 3012 / 3130 Testing and Certification Annually, FINRA member broker-dealers are required to test and verify the adequacy of their supervisory program, and the CEO is required to certify their awareness of the program’s state. But can … Continue reading
Look behind the scenes at how Mitch Avnet and his team are developing business cases to substantiate investments in Compliance technology. Continue reading
As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal… Continue reading
Summary: Dodd-Frank Trade Reconstruction Expert Panel INTRODUCTION On June 5th, 2014, Bloomberg Vault and Compliance Risk Concepts (“CRC”) hosted a special roundtable at Bloomberg’s New York headquarters specific to the Commodity Futures Trade Commission’s (“CFTC”) Trade Reconstruction Requirements for swap … Continue reading
Compliance, Operational and Financial Risk teams face complex challenges in creating appropriate “control” environments. Many factors impact and influence our ability to provide valuable oversight and insight to the discrete risks we face daily. These include: ✓ Increasing transactional volumes … Continue reading
One of the primary drivers for Compliance Risk Concepts (CRC) is to raise the awareness level and thought process related to real world compliance and risk issues in a “down to earth,” realistic and relatable way. Our goal is to … Continue reading
CRC partners with Thomson Reuters, the world’s leading source of intelligent information. This is one of CRC’s many successful, strategic partnerships. To learn more, visit our Partners page.
When I first heard the term “Big Data” a few years ago, I immediately thought it was some industry “jargon” and didn’t pay much attention to it. In fact, the more I heard the subject of Big Data being raised, … Continue reading
Beware of “Snake Oil Salesmen” As is the case with any growing industry sector, the opportunity to provide support and services to organizations in need will draw new entrants to the market. A significant number of technology service providers have … Continue reading
Corporate Governance and Enterprise Risk Management are high on the list. Read More.