Author: CRC

Due Diligence Works, Inc.
Mitch Avnet Discusses the Evolution of Communication with DDW

Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of Compliance Risk Concepts, to discuss […]

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James K Ryan
James K. Ryan, Former SVP of Sales at Reg Ed to Spearhead Business Development Efforts at Compliance Risk Concepts LLC

NEW YORK, NY /PRESS RELEASE/ - Building on its leadership position in the compliance professional services sector, Compliance Risk Concepts […]

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[Webinar] Designing a Proactive Regulatory Approach To Advisor Texting

A proactive approach is best when it comes to advisor-client texting. Join us to learn why! Join our webinar on […]

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Join CRC as We Give Thanks to our Clients & Friends

Come celebrate Compliance Risk Concepts'6 year anniversary at Gallery Henoch with an evening of food, drinks and art. Featuring New […]

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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 […]

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Monitoring and Surveillance Symposium For Broker-Dealers
Monitoring and Surveillance Symposium For Broker-Dealers

Join Abel Noser and Compliance Risk Concepts September 5th for the Monitoring and Surveillance Symposium for Broker-Dealers. This afternoon symposium […]

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new crc website launch
Compliance Risk Concepts Launches New Website, Commemorating 5-Year Anniversary

Compliance Risk Concepts, LLC, a business-focused team of seasoned compliance professionals providing top tier compliance risk management services, has launched […]

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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 […]

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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 […]

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Phocion Helps Open Door To GIPS® Verification Services At CRC

Through our strategic agreement with Phocion Investment Services (Phocion), Compliance Risk Concepts ‎(CRC) is proud to offer GIPS® Verification Services […]

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