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Compliance Bulletin 01-13

Compliance Bulletin 01-13

Mitch Avnet
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December 19, 2013

The CRC Solution To Managing Through Regulatory Change



Now more than ever, compliance departments need to stay abreast of regulatory changes in the industry. But maintaining  a “culture of compliance” amidst the tactical day-to-day operations is difficult enough without trying to somehow dedicate additional resources to “data-mine” for changes and requirements that may / may not be impacting your discrete compliance activities and presenting real “risk” to your organization.

As a former Chief Compliance Officer for a Fortune 200 Company, I understand these challenges and have created a feasible solution for small to mid-size organizations and the Independent Broker-Dealer and Investment Adviser communities struggling to meet those needs.

The Compliance Bulletin Service

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.
Want a peak at the monthly bulletin exclusively offered with this service? Fill out the form below to download your complimentary copy.

Additionally, as part of our service, we provide guidance and recommendations that organizations should weigh / consider as it relates to new rules or modified / amended rules impacting Institutional and Retail broker-dealers and registered investment advisers, wealth / asset managers, hedge funds, private equity, Municipal Advisors, M&A, etc.

Thank you again for your interest in Compliance Risk Concepts.  Our ultimate goal is to evidence our overall credibility as a “go to” resource – and create long term value for our clients.

P.S. -   If you aren’t yet familiar with our Financial Services support model, please click on the following link:



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