Compliance Risk Concepts: Senior Compliance Consultants & Executives.
Menu
close

Author: CRC

Steve Brown, former Senior Director within PWC’s Risk and Regulatory Practice, to lead Broker-Dealer Client Services

Compliance Risk Concepts LLC (“CRC”) today announced that Steve Brown is joining the compliance professional services organization as Director of […]

Read More
mitch
The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for […]

Read More
cropped-regbifinal-copy-
Regulation Best Interest

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for […]

Read More
compliance pharma
DOJ Signals Compliance Fixation with Recent Opioid Charges

Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 article titled With Opioid Charges, […]

Read More
Join CRC For Our FINRA Happy Hour Event

You are Cordially Invited to FINRA Happy Hour Event At CRC, we like to keep it breezy, so please come […]

Read More
bitcoin
SEC Asks for Public Comments on How Characteristics of Digital Assets Impact the Custody Rule

President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a letter to President & Chief […]

Read More
ifp-selects-crc
IFP Selects CRC For New Broker-Dealer Filing

TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement its broker-dealer filing. The Tampa-based […]

Read More
Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy
magnifier