Author: CRC

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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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Data Integrity and Governance Roundtable

Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers and Investment Advisers roundtable discussion […]

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Compliance Breakfast Forum: Conflicts of Interest

Compliance Breakfast Forum: Conflicts of Interest Join Compliance Science (CSI) and Compliance Risk Concepts (CRC) as we present a Conflicts […]

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Regulatory Compliance Series - Data Integrity and Governance [whitepaper]

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges on FINRA […]

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Thomson Reuters Financial and Risk Summit

  Thomson Reuters Annual Financial and Risk Summit in New York Date: May 4, 2016 Time: Time: 8:00 am - […]

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What to Do—and Not Do—at Your Next SEC Exam

Navigating Your Next SEC Exam Experienced and skilled compliance officers are adept at managing almost any regulatory exams. These compliance […]

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Webinar: Navigating Your Next SEC Exam

Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The webinar conversation will focus on […]

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GRC Briefing For The Financial Services Industry

FSO Knowledge Xchange is hosting its exclusive Governance, Risk Management, and Compliance Breakfast Briefing on February 25th, 2016 at the University Club […]

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IT Employee Trades On Confidential Goldman Emails

The SEC alleges that an employee, who worked as an associate in Goldman’s compliance department, traded on confidential information contained […]

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