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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.
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What to Do—and Not Do—at Your Next SEC Exam

Navigating Your Next SEC Exam Experienced and skilled compliance officers are adept at managing almost […]

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Webinar: Navigating Your Next SEC Exam

Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The […]

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GRC Briefing For The Financial Services Industry

FSO Knowledge Xchange is hosting its exclusive Governance, Risk Management, and Compliance Breakfast Briefing on February 25th, […]

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Three Years Later - The Song Remains the Same...

Building a Compliance Professional Services Organization   Are we Hipster Chic? This past weekend I […]

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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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Annual Year End Compliance Requirements for Broker Dealers - Tricks or Treats?

ENTER IF YOU DARE!   As Halloween is quickly creeping toward us – 2015 will […]

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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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Are Broker Dealers Prepared To Respond To Customer Withdrawal of Funds ?

9 of 24 BDs Reviewed NOT PREPARED to Respond to Customer Withdrawal of Funds Recently […]

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