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On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the [...]

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the [...]

Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 article titled With Opioid Charges, DOJ Signals Compliance Fixation by Alison Noon. [...]

You are Cordially Invited to FINRA Happy Hour Event At CRC, we like to keep it breezy, so please come join us at this great SpeakEasy! May 16th from 5:00-7:00 p.m. Denson in D.C. 600 F St NW, [...]

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

TAMPA, Fla., 06/18/2018 –Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement its broker-dealer filing. The Tampa-based RIA announced on April 6 its [...]

This policy sets forth CRC’s practice regarding the collection, use, and disclosure of personal data when you use this Website and the choices you have associated with that data (“Privacy [...]