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    • Home
    • About CRC
      • Testimonials
      • Executive Leadership and Team
        • Mitch Avnet
        • Jaclyn Bowdren
        • David J. Amster
        • Roland Reyes
      • The Electronic Flipbook
    • Compliance Problem
    • Service Model & Verticals
      • Broker Dealer Compliance Services
      • SEC and State Registered Investment Adviser Support
      • National Futures Association (NFA) Compliance Support
      • Enterprise Compliance Risk Management
      • Financial Operational Principal (FINOP) Services
      • Blockchain Assets and Cryptocurrency Consulting
      • Research Supervisory Analyst (SA) Services
      • Expert Witness Services
      • FinTech Compliance
      • Anti-Corruption and Ethics
      • Risk Resource Solutions
      • Independent Due Diligence
      • Money Services Businesses
      • Control Room Compliance
      • Research Compliance
    • Compliance Blog
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    Archives

    Monthly Archive for: "September, 2018"
    Home » Archives for September 2018
     Monitoring and Surveillance Symposium for Broker-Dealers Recap
    By CRC
    In Broker Dealer, Conferences and Events
    Posted September 30, 2018

    Monitoring and Surveillance Symposium for Broker-Dealers Recap

    To help navigate the wide array of compliance and risk management issues impacting the financial services sector today, broker-dealer compliance officers came together for a mastermind exchange [...]

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     The Compliance Crusader Project
    By CRC
    In Compliance-TV, CRC Company Updates
    Posted September 18, 2018

    The Compliance Crusader Project

    It’s a bird. It’s a plane. It’s the Compliance Crusader! Today is the day! Join us for the Compliance Crusader Project, a short journey behind the mask and inside the intrigue [...]

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