Author: CRC

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Documenting Effective Onboarding Due Diligence [webinar]

As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory procedures for hiring or retaining […]

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Compliance Risk Concepts and NexTier Consulting Solutions Team Up To Serve Investment Management Community

NEW YORK (NEW YORK) | CHICAGO (ILLINOIS) Compliance Risk Concepts ("CRC"), a top-tier compliance consulting services firm, and NexTier Consulting […]

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Webinar: How The CRC / Phocion Partnership Benefits YOU

Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services Join CRC and Phocion for a more […]

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Best Practices for Managing Conflicts of Interest [Webinar]

  If your firm is struggling with the management and analysis of conflicts of interest, learn from a leading industry […]

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Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers

  Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance Issues for Investment Advisers. Investment […]

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Information Governance Financial Regulatory Compliance Roundtable

Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE Information Governance Financial Regulatory Compliance […]

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Compliance Risk Concepts NYC Headquarters Is Moving

  It is with great enthusiasm that Compliance Risk Concepts (CRC) is proud to announce that we are moving our […]

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Dan Dorsky To Lead Anti-Corruption And Ethics Practice At Compliance Risk Concepts

NEW YORK, Oct. 25, 2016 /PRNewswire/ -- Expanding its scope of compliance specialties to Anti-Corruption and Foreign Corrupt Practices Act […]

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David J. Amster hired as Principal and Head of its Fund and Dealer Advisory practice

  Building on its team of compliance advisory professionals, Compliance Risk Concepts, LLC (CRC) has hired of David J. Amster […]

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CRC Among Top 25 Most Recommended Compliance Service Providers

Compliance Risk Concepts is honored to be recognized by Enterprise Services Outlook (ES Outlook) as one of the top 25 […]

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