Category: Conferences and Events

Hearsay Social Summit Top Takeaways
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 enterprise wealth management and insurance companies whose respective organizations have taken a careful, thoughtful and pragmatic approach to enable advisors to communicate with clients and prospects over multiple channels.

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Join CRC For Our FINRA Happy Hour Event

You are Cordially Invited to FINRA Happy Hour Event At CRC, we like to keep it breezy, so please come […]

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2019 Annual FINRA Conference
2019 FINRA Annual Conference

CRC is delighted to sponsor the upcoming 2019 FINRA Annual Conference on May 15-17 in Washington, D.C. Please stop by […]

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webinar
[Webinar] Designing a Proactive Regulatory Approach To Advisor Texting

A proactive approach is best when it comes to advisor-client texting. Join us to learn why! Join our webinar on […]

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Join CRC as We Give Thanks to our Clients & Friends

Come celebrate Compliance Risk Concepts'6 year anniversary at Gallery Henoch with an evening of food, drinks and art. Featuring New […]

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symposium
Monitoring and Surveillance Symposium for Broker-Dealers Recap

To help navigate the wide array of compliance and risk management issues impacting the financial services sector today, broker-dealer compliance […]

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Monitoring and Surveillance Symposium For Broker-Dealers
Monitoring and Surveillance Symposium For Broker-Dealers

Join Abel Noser and Compliance Risk Concepts September 5th for the Monitoring and Surveillance Symposium for Broker-Dealers. This afternoon symposium […]

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sterling-june-13
Sterling FinServ Summit: Mitch Avnet Joins Fireside Chat with Former FINRA Chief of Enforcement, J. Bradley Bennett

Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June 13th for the Sterling Financial […]

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documenting-effective-onboarding-due-diligence
Documenting Effective Onboarding Due Diligence [webinar]

As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory procedures for hiring or retaining […]

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Webinar: How The CRC / Phocion Partnership Benefits YOU

Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services Join CRC and Phocion for a more […]

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