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Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued a joint statement in conjunction with FINRA’s general counsel addressing various elements of [...]

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 [...]

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 [...]

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 [...]

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 [...]

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(The Economist | May 2019) Excerpt from the article Rise of the No Men The past decade has brought a compliance boom in banking. A recent episode of “Billions”, a television drama about Wall [...]

Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 article titled With Opioid Charges, DOJ Signals Compliance Fixation by Alison Noon. [...]

You are Cordially Invited to FINRA Happy Hour Event At CRC, we like to keep it breezy, so please come join us at this great SpeakEasy! May 16th from 5:00-7:00 p.m. Denson in D.C. 600 F St NW, [...]