Sold with Jim Ryan. In this episode of CRC-TV, we hit the streets of NYC with Jim Ryan, Director of […]

I Want My CRC-TV! Always ahead of the curve, Compliance Risk Concepts explores the endless opportunities of Compliance and Video […]

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to […]

It's a bird. It's a plane. It's the Compliance Crusader! Today is the day! Join us for the Compliance Crusader […]

Episode 3: Hosts Mitch Avnet discusses the following information specific to Annual Compliance Reviews and CEO Certification process: · Holistic […]

During the recent collaboration on: Data Integrity and Governance for FINRA registered broker-dealers: http://goo.gl/lw3v45, Mitch Avnet, Compliance TV host, sat […]

In this episode of Compliance-TV Mitch Avnet and Roland Reyes discuss the launch of the new Compliance Hotline mobile app. […]

Compliance TV In this episode host Mitch Avnet answers the question, what was your goal in establishing Compliance Risk Concepts […]

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the […]