Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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NY Office
Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
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  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
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Author: Mitch Avnet

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Compliance Bulletin 01-13

The monthly Compliance Bulletin Service provides the information your organization needs- at the speed it can handle it. Let the trusted Compliance professionals at CRC do the hunting, gathering and data-mining for you. Take a peak by downloading a complimentary Compliance Bulletin.

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It's Time For Your 15 Minutes...

It's Time For Your 15 Minutes... As a CRC insider, for a limited time we are offering a 15 minute call to discuss a complimentary review of one of the following...

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Compliance Risk Concepts (CRC) Holds First Compliance Roundtable in NYC

On 10/30/2013, CRC conducted its first industry Compliance Roundtable. Hosted by Barry Barbash, Partner at […]

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Three Investment Advisers Sanctioned for Repeatedly Ignoring Problems with their Compliance Programs

The recent action taken by the SEC against three Investment Advisers should serve as a “wake up call” for the IA sector. IAs should utilize the recent sanctions as a “road map” / “checklist” for their own internal controls.

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Compliance In Financial Services White Paper

Compliance in Financial Services White Paper | Compliance organizations have had good success leveraging new technologies to improve efficiency, but recent trends as discussed will increasingly force compliance leaders to take action to mitigate the risks arising from the data and regulation explosion.

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You Are Invited To Our Roundtable | Oct. 30th

Round table discussion of senior compliance risk management executives from leading financial services institutions on October 30, 2013. Expected attendees include other senior compliance risk management executives.

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Four Points Strives For Regulatory Standard Of Excellence By Partnering With Compliance Risk Concepts

Four Points Capital Partners Llc Announces Partnership With CRC, to create and shape its Compliance Culture in the early stages of its evolution.

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Broker-Dealers: Is Your “Regulatory” House in Order?

CRC Service Spotlight: 3012 / 3130 Testing and Certification Annually, FINRA member broker-dealers are required […]

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Mitch Invites You Behind The Scenes

Look behind the scenes at how Mitch Avnet and his team are developing business cases to substantiate investments in Compliance technology.

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Are you Insecure? – The First Step is Acknowledging You Need Help!

As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal...

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