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  • Home
  • About CRC
    • Executive Leadership and Team
      • Mitch Avnet
      • David J. Amster
      • Roland Reyes
      • Jaclyn Bowdren
    • Testimonials
    • The Electronic Flipbook
  • Compliance Problem
  • Service Model & Verticals
    • Broker Dealer Compliance Services
    • SEC and State Registered Investment Adviser Support
    • National Futures Association (NFA) Compliance Support
    • Enterprise Compliance Risk Management
    • Financial Operational Principal (FINOP) Services
    • Blockchain Assets and Cryptocurrency Consulting
    • Research Supervisory Analyst (SA) Services
    • Expert Witness Services
    • Technology Industry Compliance
    • Anti-Corruption and Ethics
    • Risk Resource Solutions
  • Compliance Blog
  • Compliance TV
  • Partners
    • Abel Noser
    • Gresham
    • ComplySci
    • Innova
    • Fin Web Tech
    • RegEd
  • Contact Us
    • CRC New York, NY Office
    • CRC Chicago, IL Office
    • CRC Houston, TX Office
    • CRC Beverly Hills, CA Office
    • CRC Irvine, CA Office

Compliance-TV

Home » Compliance-TV
 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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 The Compliance Crusader Project
By CRC
In Compliance-TV, CRC Company Updates
Posted September 18, 2018

The Compliance Crusader Project

It’s a bird. It’s a plane. It’s the Compliance Crusader! Today is the day! Join us for the Compliance Crusader Project, a short journey behind the mask and inside the intrigue [...]

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By CRC_admin
In Compliance-TV
Posted November 2, 2017

CRC-TV Annual Compliance Reviews and CEO Certification

Episode 3: Hosts Mitch Avnet discusses the following information specific to Annual Compliance Reviews and CEO Certification process: · Holistic Review of Your Organization · Leveraging External [...]

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By CRC_admin
In Compliance-TV
Posted November 2, 2017

CRC-TV Interview with Ian Manocha, CEO of Gresham Computing

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

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By CRC_admin
In Compliance-TV
Posted November 2, 2017

CRC-TV New Compliance Hotline Mobile App for Financial Services

In this episode of Compliance-TV Mitch Avnet and Roland Reyes discuss the launch of the new Compliance Hotline mobile app. Financial Service organizations can now receive on-the-go answers from [...]

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By CRC_admin
In Compliance-TV
Posted November 2, 2017

CRC-TV Beware of the Consulting “Rope-a-Dope”

Compliance TV In this episode host Mitch Avnet answers the question, what was your goal in establishing Compliance Risk Concepts 4 years ago? As a former Chief Compliance Officer (“CCO”), Mitch [...]

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By CRC_admin
In Compliance-TV
Posted November 2, 2017

Lowering Your Cost Of Compliance

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 [...]

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Service Model & Verticals
  • Broker Dealer Compliance Services
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  • National Futures Association (NFA) Compliance Support
  • Enterprise Compliance Risk Management
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  • View All Services
Latest Articles & Videos
  • FINRA 2018 Exam Findings Report and Regulatory Update Reminder
    FINRA 2018 Exam Findings Report and Regulatory Update Reminder
    January 8, 2019
  • The Case for Compliance Technology: Where’s the Problem?
    The Case for Compliance Technology: Where’s the Problem?
    December 21, 2018
  • The Business Case for Technology in Compliance
    The Business Case for Technology in Compliance
    November 29, 2018
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