What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]
As we approach the Thanksgiving Holiday, the end of 2017 will be here before we […]
Through our strategic agreement with Phocion Investment Services (Phocion), Compliance Risk Concepts (CRC) is proud […]
As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory […]
NEW YORK (NEW YORK) | CHICAGO (ILLINOIS) Compliance Risk Concepts ("CRC"), a top-tier compliance consulting […]
Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services Join CRC […]
If your firm is struggling with the management and analysis of conflicts of interest, […]
Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance […]
Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE […]
It is with great enthusiasm that Compliance Risk Concepts (CRC) is proud to announce […]
NEW YORK, Oct. 25, 2016 /PRNewswire/ -- Expanding its scope of compliance specialties to Anti-Corruption […]