Compliance Risk Concepts
Client Login
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.
best-practices-for-employee-client-and-third-party
Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex […]

Read More
ifp-selects-crc
IFP Selects CRC For New Broker-Dealer Filing

TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement […]

Read More
sterling-june-13
Sterling FinServ Summit: Mitch Avnet Joins Fireside Chat with Former FINRA Chief of Enforcement, J. Bradley Bennett

Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June […]

Read More
research-this-with-crc
Research This! Complex Future for Research Analysts

The world of research sure has changed over the last few decades. When the author […]

Read More
regulatory-focus-cryptocurrency
Regulatory Focus: Cryptocurrency

According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the […]

Read More
fincen-customer-due-diligence
Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule

Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New […]

Read More
Annual Investment Adviser Regulatory Review and Outlook

Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former […]

Read More
annual-broker-dealer-kg
Annual Broker-Dealer Regulatory Review and Outlook

Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find […]

Read More
talk-turkey
Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements

As we approach the Thanksgiving Holiday, the end of 2017 will be here before we […]

Read More
gip-verification2
Phocion Helps Open Door To GIPS® Verification Services At CRC

Through our strategic agreement with Phocion Investment Services (Phocion), Compliance Risk Concepts ‎(CRC) is proud […]

Read More
1 9 10 11 12 13 22
Copyright Compliance Risk Concepts | All Rights Reserved © 2023 | Privacy Policy
magnifier