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    • Home
    • About CRC
      • Testimonials
      • Executive Leadership and Team
        • Mitch Avnet
        • Jaclyn Bowdren
        • David J. Amster
        • Roland Reyes
      • The Electronic Flipbook
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    • Service Model & Verticals
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      • SEC and State Registered Investment Adviser Support
      • National Futures Association (NFA) Compliance Support
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    Archives

    Monthly Archive for: "January, 2019"
    Home » Archives for January 2019
     Choosing Compliance Technology: Options and Considerations
    By Mitch Avnet
    In Modern Compliance with Mitch Avnet
    Posted January 31, 2019

    Choosing Compliance Technology: Options and Considerations

    This is the third of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares the process of building a business case within your [...]

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     FINRA 2018 Exam Findings Report and Regulatory Update Reminder
    By Kaitlyn Gibbs
    In Compliance Bulletin, Compliance-TV, Compliance/ Risk Management
    Posted January 8, 2019

    FINRA 2018 Exam Findings Report and Regulatory Update Reminder

    On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has [...]

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