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 recent SEC announcement by OCIE […]

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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 it! As former Chief Compliance […]

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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 hired of David J. Amster […]

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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 CRC Hotline app offers on-the-go […]

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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 risk management challenges on FINRA […]

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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 any regulatory exams. These compliance […]

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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 frequented a hipster coffee shop […]

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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, traded on confidential information contained […]

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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 Chief Compliance Officers and Compliance […]

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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 vanish right before our very […]

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