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    • Home
    • About CRC
      • Testimonials
      • Executive Leadership and Team
        • Mitch Avnet
        • Jaclyn Bowdren
        • David J. Amster
        • Roland Reyes
      • The Electronic Flipbook
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    Compliance/ Risk Management

    Archives: Compliance / Risk Management
    Home » Compliance/ Risk Management
     2019 Summit Takeaways: Compliance Trends in Advisor Communications
    By Mitch Avnet
    In Compliance/ Risk Management, Conferences and Events
    Posted May 23, 2019

    2019 Summit Takeaways: Compliance Trends in Advisor Communications

    Mitch Avnet had the privilege of moderating a session on “Compliance Trends in Advisor Communications” at Hearsay Summit this year. The session was well attended by compliance officers from [...]

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     The Compliance Boom In Banking | The Economist
    By CRC
    In Compliance/ Risk Management, Financial Articles, Industry News
    Posted May 10, 2019

    The Compliance Boom In Banking | The Economist

    (The Economist | May 2019) Excerpt from the article Rise of the No Men The past decade has brought a compliance boom in banking. A recent episode of “Billions”, a television drama about Wall [...]

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     DOJ Signals Compliance Fixation with Recent Opioid Charges
    By CRC
    In Compliance/ Risk Management, Industry News
    Posted May 1, 2019

    DOJ Signals Compliance Fixation with Recent Opioid Charges

    Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 article titled With Opioid Charges, DOJ Signals Compliance Fixation by Alison Noon. [...]

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     Investment Advisers 2018 Regulatory Review and 2019 Outlook
    By Kaitlyn Gibbs
    In Compliance Bulletin, Compliance/ Risk Management
    Posted February 13, 2019

    Investment Advisers 2018 Regulatory Review and 2019 Outlook

    With 2018 in rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to [...]

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     Mitch Avnet Discusses the Evolution of Communication with DDW
    By CRC
    In Broker Dealer, Compliance/ Risk Management, CRC Company Updates
    Posted February 7, 2019

    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 the evolution of communication, particularly as it relates to [...]

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     FINRA 2018 Exam Findings Report and Regulatory Update Reminder
    By Kaitlyn Gibbs
    In Compliance Bulletin, Compliance-TV, Compliance/ Risk Management
    Posted January 8, 2019

    FINRA 2018 Exam Findings Report and Regulatory Update Reminder

    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 [...]

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     Adviser and Broker-Dealer Annual Regulatory Deadlines
    By Kaitlyn Gibbs
    In Broker Dealer, Compliance/ Risk Management
    Posted November 7, 2018

    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 and advisers with a December fiscal year-end, annual amendments have [...]

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     News Update: Coinbase Hires Jeff Horowitz to Lead Compliance Initiative as CCO
    By Kaitlyn Gibbs
    In Compliance/ Risk Management, Industry News
    Posted August 9, 2018

    News Update: Coinbase Hires Jeff Horowitz to Lead Compliance Initiative as CCO

    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 [...]

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     News Update: FINRA Notice 18-20
    By Kaitlyn Gibbs
    In Compliance/ Risk Management, Industry News
    Posted July 11, 2018

    News Update: FINRA Notice 18-20

    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, [...]

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     Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry
    By Melissa Kluttz
    In Compliance Bulletin, Compliance/ Risk Management
    Posted July 10, 2018

    Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry

    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 [...]

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