Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Stay Up to Date With CRC Blog

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 the 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.
crc-monthly-regulatory-review-december-2020
Monthly Regulatory Review and Outlook (December 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients in keeping abreast of notable regulatory developments and deadlines in an effort to strengthen their compliance and regulatory initiatives. FINRA Regulatory Notices Per Notice 20-40, FINRA […]

Read More
Monthly Regulatory Review and Outlook (November 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients in keeping abreast of notable regulatory developments and deadlines in an effort to strengthen their compliance and regulatory initiatives. FINRA Regulatory Notices Per Notice 20-34, […]

Read More
Monthly Regulatory Review and Outlook (October 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients in keeping abreast of notable regulatory developments and deadlines in an effort to strengthen their compliance and regulatory initiatives. FINRA Regulatory Notices Per Notice 20-32, […]

Read More
final-news-update (1)
News Update: SEC fines Firm $100,000 for Failure to Maintain Text Messages

Background & Summary The Securities and Exchange Commission (“SEC”) entered an order (“Order”) against a broker-dealer for failing to retain text messages relating to the firm’s business with the firm’s required business records. The firm was subsequently fined $100,000. The firm’s policies reportedly prohibited employees from conducting business via text message or utilizing personal devices for business-related […]

Read More
The Silicon Review: “30 Fastest Growing Private Companies to Watch in 2020.”

The Silicon Review  "Compliance demands in the financial services sector are surging and the operational costs associated with hiring and retaining capable in-house assistance is rising in step with those demands. The increasing number and complexity of regulations, constant pressure from shareholders to reduce operating costs, and a continuing shortage of talent are compelling businesses […]

Read More
Steve Brown, former Senior Director within PWC’s Risk and Regulatory Practice, to lead Broker-Dealer Client Services

Compliance Risk Concepts LLC (“CRC”) today announced that Steve Brown is joining the compliance professional services organization as Director of Broker-Dealer Client Services.  Steve brings 25-plus years of industry and regulatory compliance experience to advise CRC’s clients. Over the duration of his career, Steve has been viewed as a leader in investment banking and control […]

Read More
crcblockchainphoto1
News Update: SEC Issues Statement Regarding Digital Assets

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 digital currency amid request for clarity on whether broker-dealers can hold digital assets under federal securities laws. The regulator reiterated its growing concerns relative to investor protection […]

Read More
mitch
The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.

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 fiduciary duty for investment advisers by issuing Regulation Best Interest (“Reg BI”). Hearsay recently reached out to Mitch Avnet of Compliance Risk Concepts (“CRC”) to discuss […]

Read More
cropped-regbifinal-copy-
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 fiduciary duty for investment advisers by issuing Regulation Best Interest (“Reg BI”). The SEC is giving firms a transition period until June 30, 2020.  Reg BI […]

Read More
CRC-TV Sold with Jim Ryan
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 bringing to the CRC team. #CRCTV     CRC-TV Presents “SOLD” with Jim RyanDirected by Dillon Avnet and Ethan […]

Read More
1 2 3 16
Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy
magnifier