Category: Broker Dealer

Annual Broker-Dealer Regulatory Review and 2019 Outlook
Annual Broker-Dealer Regulatory Review and 2019 Outlook

With 2018 behind us and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of 2018 in an effort to anticipate what this year may bring for Broker-Dealers.

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Due Diligence Works, Inc.
Mitch Avnet Discusses the Evolution of Communication with DDW

Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of Compliance Risk Concepts, to discuss […]

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Adviser and Broker-Dealer Annual Regulatory Deadlines
Adviser and Broker-Dealer Annual Regulatory Deadlines

Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to remind you that for brokers […]

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Monitoring and Surveillance Symposium for Broker-Dealers Recap

To help navigate the wide array of compliance and risk management issues impacting the financial services sector today, broker-dealer compliance […]

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IFP Selects CRC For New Broker-Dealer Filing

TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement its broker-dealer filing. The Tampa-based […]

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Research This! Complex Future for Research Analysts

The world of research sure has changed over the last few decades. When the author Jeanine Oburchay, CRC Director of […]

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Regulatory Focus: Cryptocurrency

According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the sale of products in the […]

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Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule

Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New Requirements. It offers a snack-size […]

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Annual Broker-Dealer Regulatory Review and Outlook

Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find ourselves in a position to […]

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Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements

As we approach the Thanksgiving Holiday, the end of 2017 will be here before we know it! As former Chief […]

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