Category: Industry News

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News Update: FINRA Notice 18-20

Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement in digital currency. This notice […]

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ADV Regulatory Changes For Investment Advisers

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers […]

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Compliance Risk Concepts and NexTier Consulting Solutions Team Up To Serve Investment Management Community

NEW YORK (NEW YORK) | CHICAGO (ILLINOIS) Compliance Risk Concepts ("CRC"), a top-tier compliance consulting services firm, and NexTier Consulting […]

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Compliance Risk Concepts and Phocion Investment Services Formalize Strategic Alliance

NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts ("CRC"), a top tier compliance consulting services firm, and Phocion […]

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Compliance Risk Concepts NYC Headquarters Is Moving

  It is with great enthusiasm that Compliance Risk Concepts (CRC) is proud to announce that we are moving our […]

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Dan Dorsky To Lead Anti-Corruption And Ethics Practice At Compliance Risk Concepts

NEW YORK, Oct. 25, 2016 /PRNewswire/ -- Expanding its scope of compliance specialties to Anti-Corruption and Foreign Corrupt Practices Act […]

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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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E&O: Are You In The Know?

Several times over the past decade FINRA has indicated they may be considering making it a requirement for broker-dealers to […]

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What You Need To Know About Material Non-Public Information (MNPI)

Whether you are a small-town doctor or a powerful hedge fund manager - the SEC doesn’t discriminate! If you are […]

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CRC Among Top 25 Most Recommended Compliance Service Providers

Compliance Risk Concepts is honored to be recognized by Enterprise Services Outlook (ES Outlook) as one of the top 25 […]

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