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NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts (“CRC”), a top tier compliance consulting services firm, and Phocion Investment Services (“Phocion”), a [...]

CRC furnishes sensible regulatory risk management services and support that achieve a comfortable balance between a client’s commercial interests and the critical need to withstand regulatory [...]

With the end of 2016 just days away, 2017 will be here before you know it! As former Chief Compliance Officers, CRC completely understands year-end pressures for FINRA registered broker-dealers [...]

Several times over the past decade FINRA has indicated they may be considering making it a requirement for broker-dealers to maintain errors and omission insurance (E&O) to cover the payment [...]

It’s hard to believe that almost four (4) years ago, my partners and I developed the strategy and business plan that would ultimately lead to the launch of Compliance Risk Concepts (“CRC”), a [...]

NEW YORK, NY– Compliance Risk Concepts (“CRC”) launches new mobile app for financial service organizations. The CRC Hotline app offers on-the-go answers from industry experts [...]

CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is pleased to announce a forthcoming whitepaper written in conjunction with [...]

Building a Compliance Professional Services Organization   Are we Hipster Chic? This past weekend I frequented a hipster coffee shop in Greenwich Village.   As I drank my “chichi” cup of [...]

ENTER IF YOU DARE!   As Halloween is quickly creeping toward us – 2015 will vanish right before our very eyes! As former Chief Compliance Officers, CRC understands how frightening, scary and [...]

  Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and expands its monitoring technology for the big data era, firms may feel pressure to [...]