Category Archives: CRC Company Updates

Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on risk and compliance. Citigroup, for example, now boasts nearly 30,000 employees dedicated to … Continue reading →

YOU BETTER CHECK YOURSELF – BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker-Dealers regarding year-end responsibilities that must … Continue reading →

Over the past several years, the massive and sweeping changes in the regulatory environment have forced financial services organizations to focus their attention and efforts toward ensuring their internal controls adequately capture all applicable laws & regulations. So many firms … Continue reading →

SAVE THE DATE : October 22, 2014 Think Tank 2.0 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation. Continue reading →

Join SmartBrief Risk and Compliance Editor Sean McMahon and panel Harald Collet, Stephen Marsh and Mitch Avnet, as they discuss trade reconstruction challenges in a webinar sponsored by Bloomberg Vault Tuesday September 16 1:00pm-2:00pm EDT Continue reading →

Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault and Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts Continue reading →

Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken as the Dodd-Frank Wall Street Reform and Consumer Protection Act, or “Dodd-Frank Act”. Under these new rules, one of the most significant challenges for Compliance … Continue reading →

NEW YORK, NY, July 7, 2014 – Compliance Risk-Concepts (“CRC”) announced today that John Anderson has been named as Vice President of Business Development. Former VP of Corporate Bond Trading/Sales at Wells Fargo, John’s diversity of experience has enabled him … Continue reading →

The strategic partnership between Four Points and Compliance Risk Concepts serves as a success model for Independent Broker-Dealers and Investment Advisers challenged by the current regulatory and economic environment. Continue reading →

Mitch Avnet confirmed as speaker for Thomson Reuter’s Compliance and Risk Summit at the Marriott Marquis Hotel in New York City. Continue reading →