Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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NY Office
Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
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Chicago
IL Office
  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
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Houston
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Category: Compliance/ Risk Management

You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most […]

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Broker Dealers, Don’t Be A Turkey. Complete Your Year-End Requirements!

With the end of 2016 just days away, 2017 will be here before you know […]

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David J. Amster hired as Principal and Head of its Fund and Dealer Advisory practice

  Building on its team of compliance advisory professionals, Compliance Risk Concepts, LLC (CRC) has […]

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CRC Enters Mobile Space with New Compliance Hotline App

NEW YORK, NY– Compliance Risk Concepts ("CRC") launches new mobile app for financial service organizations. The […]

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Regulatory Compliance Series - Data Integrity and Governance [whitepaper]

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational […]

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What to Do—and Not Do—at Your Next SEC Exam

Navigating Your Next SEC Exam Experienced and skilled compliance officers are adept at managing almost […]

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Three Years Later - The Song Remains the Same...

Building a Compliance Professional Services Organization   Are we Hipster Chic? This past weekend I […]

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IT Employee Trades On Confidential Goldman Emails

The SEC alleges that an employee, who worked as an associate in Goldman’s compliance department, […]

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Assessing Outsourced CCO Risk Before the SEC Completes the Assessment for You

The OCIE staff of the SEC released a Risk Alert relating to the Outsourcing of […]

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Annual Year End Compliance Requirements for Broker Dealers - Tricks or Treats?

ENTER IF YOU DARE!   As Halloween is quickly creeping toward us – 2015 will […]

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