Compliance Risk Concepts: Senior Compliance Consultants & Executives.
Headquarters: NY
NY Office
Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
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IL Office
  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
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Category: Industry News

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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 […]

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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 […]

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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 […]

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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 […]

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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, […]

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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 […]

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Compliance Summit 2015

  Date: Nov 16-17, 2015  Sponsored by: Compliance Science This year’s conference is shaping up to be […]

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Goldman, Twitter & Square Entwinement

Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week […]

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Spotlight On Talent: Kevin Wheeler On NY's Virtual Currency Regulation

The State of New York recently passed legislation requiring those transacting in virtual currency to […]

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MassMutual Life Insurance Co. Makes Move For Improved Governance and Consistency Across Actuarial and Risk Functions

This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life […]

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