The Case for Compliance Technology: Where’s the Problem?
This is the second of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares his solution to one of the most prevalent [...]
The Business Case for Technology in Compliance
This is the first of our monthly blogs for Hearsay Systems. Over the next few months, in conjunction with Hearsay, our goal is to arm the financial services industry with information and [...]
Compliance Risk Concepts and Phocion Investment Services Formalize Strategic Alliance
NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts (“CRC”), a top tier compliance consulting services firm, and Phocion Investment Services (“Phocion”), a [...]
PaCE: Policy and Controls Environment
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 [...]
Broker Dealers, Don’t Be A Turkey. Complete Your Year-End Requirements!
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 [...]
E&O: Are You In The Know?
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 [...]
Beware of the Consulting “Rope-a-Dope”
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 [...]
CRC Enters Mobile Space with New Compliance Hotline App
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 [...]
See Ya Lata – Bad Data!
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 [...]
Three Years Later – The Song Remains the Same…
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 [...]
