Category: CRC Company Updates

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Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered that many of our clients […]

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Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end […]

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Regulatory Mapping Support Model

Over the past several years, the massive and sweeping changes in the regulatory environment have forced financial services organizations to […]

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The Time is Now!: Think Tank 2.0

SAVE THE DATE : October 22, 2014 Think Tank 2.0 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.

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Tackling the Challenges of Trade Reconstruction

Join SmartBrief Risk and Compliance Editor Sean McMahon and panel Harald Collet, Stephen Marsh and Mitch Avnet, as they discuss trade reconstruction challenges in a webinar sponsored by Bloomberg Vault Tuesday September 16 1:00pm-2:00pm EDT

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Mitch Avnet To Moderate Bloomberg Vault Webinar August 21st

Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault and Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts

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Bloomberg Vault Publishes Practical Guide For Compliance Officers

Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken as the Dodd-Frank Wall Street […]

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John Anderson Named VP of Business Development

NEW YORK, NY, July 7, 2014 - Compliance Risk-Concepts ("CRC") announced today that John Anderson has been named as Vice […]

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Four Points Attributes Accelerated Growth to CRC Partnership

The strategic partnership between Four Points and Compliance Risk Concepts serves as a success model for Independent Broker-Dealers and Investment Advisers challenged by the current regulatory and economic environment.

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Mitch Avnet To Speak At Thomson Reuter's Compliance and Risk Summit

Mitch Avnet confirmed as speaker for Thomson Reuter's Compliance and Risk Summit at the Marriott Marquis Hotel in New York City.

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