Compliance/ Risk Management

Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of Compliance Risk Concepts, to discuss the evolution of communication, particularly as it relates to [...]

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has [...]

Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to remind you that for brokers and advisers with a December fiscal year-end, annual amendments have [...]

Coinbase, who recently acquired broker-dealer Keystone Capital Corp in June 2018, announced the addition of Jeff Horowitz as the Cryptocurrency exchange’s new Chief Compliance Officer. Prior to [...]

Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement in digital currency. This notice addressed the fact that the market for digital assets, [...]

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- for financial [...]

Through our strategic agreement with Phocion Investment Services (Phocion), Compliance Risk Concepts ‎(CRC) is proud to offer GIPS® Verification Services to existing and prospective clients. The [...]

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the endless regulatory noise into coherent action [...]

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers to expand the information they report on Form ADV about [...]

NEW YORK (NEW YORK) | CHICAGO (ILLINOIS) Compliance Risk Concepts (“CRC”), a top-tier compliance consulting services firm, and NexTier Consulting Solutions (“NexTier”), a leading risk [...]