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Content is King! At CRC, we aim to provide our “followers” with critical and timely information in a very straightforward and practical manner. We don’t believe in regurgitation of regulatory changes and hot topics. Our goal is to provide insight and guidance as to how each Client can approach their compliance program in a strategic and thoughtful manner, enabling long term sustainable success.

Regulation Best Interest

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the [...]

CRC-TV Sold with Jim Ryan

Sold with Jim Ryan. In this episode of CRC-TV, we hit the streets of NYC with Jim Ryan, Director of Business Development at Compliance Risk Concepts discuss the art of sales and what he will be [...]

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