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    • Home
    • About CRC
      • Testimonials
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        • Mitch Avnet
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        • David J. Amster
        • Roland Reyes
      • The Electronic Flipbook
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    Archives

    Monthly Archive for: "November, 2017"
    Home » Archives for November 2017
     Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements
    By CRC
    In Broker Dealer
    Posted November 14, 2017

    Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements

    As we approach the Thanksgiving Holiday, the end of 2017 will be here before we know it! As former Chief Compliance Officers, CRC completely understands year-end pressures for FINRA registered [...]

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    By CRC_admin
    In Compliance-TV
    Posted November 2, 2017

    CRC-TV Annual Compliance Reviews and CEO Certification

    Episode 3: Hosts Mitch Avnet discusses the following information specific to Annual Compliance Reviews and CEO Certification process: · Holistic Review of Your Organization · Leveraging External [...]

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    By CRC_admin
    In Compliance-TV
    Posted November 2, 2017

    CRC-TV Interview with Ian Manocha, CEO of Gresham Computing

    During the recent collaboration on: Data Integrity and Governance for FINRA registered broker-dealers: http://goo.gl/lw3v45, Mitch Avnet, Compliance TV host, sat down with Ian Manocha, CEO of [...]

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    By CRC_admin
    In Compliance-TV
    Posted November 2, 2017

    CRC-TV New Compliance Hotline Mobile App for Financial Services

    In this episode of Compliance-TV Mitch Avnet and Roland Reyes discuss the launch of the new Compliance Hotline mobile app. Financial Service organizations can now receive on-the-go answers from [...]

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    By CRC_admin
    In Compliance-TV
    Posted November 2, 2017

    CRC-TV Beware of the Consulting “Rope-a-Dope”

    Compliance TV In this episode host Mitch Avnet answers the question, what was your goal in establishing Compliance Risk Concepts 4 years ago? As a former Chief Compliance Officer (“CCO”), Mitch [...]

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    By CRC_admin
    In Compliance-TV
    Posted November 2, 2017

    Lowering Your Cost Of Compliance

    With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the endless regulatory noise into coherent action [...]

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