CRC Enters Mobile Space with New Compliance Hotline App

NEW YORK, NY– Compliance Risk Concepts (“CRC”) launches new mobile app for financial service organizations. The CRC Hotline app offers on-the-go answers from industry experts regarding ongoing and onerous regulatory compliance issues. It connects Compliance Officers, CEOs of independent broker-dealers, Managing … 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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