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
Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers and Investment Advisers roundtable discussion and hear first-hand, from two former Senior Executives at FINRA, Bill Hayden and Jeff Holik. Date: Tuesday, June 14, 2016 … Continue reading
Compliance Breakfast Forum: Conflicts of Interest Join Compliance Science (CSI) and Compliance Risk Concepts (CRC) as we present a Conflicts of Interest roundtable discussion. Date: Thursday, May 19, 2016 Time: Time: 8:30 am – 11:00 am ET Location: Pillsbury Winthrop Shaw … Continue reading
CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is pleased to announce a forthcoming whitepaper written in conjunction with Gresham Computing plc addressing data quality and data integrity issues impacting FINRA Registered broker-dealers. … Continue reading
Building a Compliance Professional Services Organization Are we Hipster Chic? This past weekend I frequented a hipster coffee shop in Greenwich Village. As I drank my “chichi” cup of coffee, I couldn’t help but overhear the conversation at the table … Continue reading
Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and expands its monitoring technology for the big data era, firms may feel pressure to increase their own capacity to provide data. As the Financial Industry Regulatory … Continue reading
C-CON Cleveland – Compliance Officer Network Location: McDonald Hopkins LLC, 600 Superior Ave, Cleveland, Oh 44114 Date: Tuesday August 4, 2015 Time: 3:30 pm CPE Credit: 1 Credit Program Agenda: 3:15 – 3:30 p.m. Registration 3:30 p.m. Molly Brown on … Continue reading
Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro.
As Chairman of the U.S. Securities and Exchange Commission, Mary L. Schapiro helped strengthen and revitalize the agency; oversaw a more rigorous enforcement program; and, shaped new rules by which Wall Street must play.
Chairman Schapiro’s priorities at the SEC included reinvigorating a financial regulatory system that must protect investors and vigorously enforce the rules; and working to deepen the SEC’s commitment to transparency, accountability, and disclosure while always keeping the needs and concerns of investors front and center. During her tenure, the agency’s dedicated work force brought a record number of Enforcement actions, swiftly reacted to the May 6, 2010 Flash Crash, and achieved significant regulatory reform to protect investors.
In a non-exclusive co-branding agreement, Compliance Risk Concepts and FinWebTech have teamed up to provide broker-dealers, registered investment advisors, banks and other financial institutions, an automated cost effective solution to improving operations, reducing risk and maintaining a strong culture of … Continue reading
RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City Center | Raleigh, NC Join financial services CCOs, Compliance Professionals, senior representatives, regulators and former regulators and gain a new understanding of expanding and new compliance … Continue reading