Compliance Risk Concepts: Senior Compliance Consultants & Executives.
Headquarters: NY
NY Office
Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
View Details
Chicago
IL Office
  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
View Details
Houston
TX Office
View Details
Beverly Hills
CA Office
View Details
Irvine
CA Office
View Details
Portland
OR Office
View Details
Charleston
SC Office
View Details

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.
How Would You Respond To A Cyber Incident?

The world has changed in cyber space. It used to be a company could create […]

Read More
Mitch Avnet Featured In Compliance Week

Amid a tough climate of regulatory enforcement and an explosion of new rules after the […]

Read More
bulletin-01-15
Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]

Read More
high-profile-exam-priority
Cybersecurity: High Profile Exam Priority for FINRA and the SEC

As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.

Read More
Just in Time For The Holidays – The Gift of Cybersecurity Awareness

In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations. 

Read More
secetrade2
Faulty Broker Dealer Gatekeeping Leads To SEC Enforcement Action

The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that […]

Read More
inf-below
Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For […]

Read More
support-model-openv2
Regulatory Mapping Support Model

Over the past several years, the massive and sweeping changes in the regulatory environment have […]

Read More
think-tank
The Time is Now!: Think Tank 2.0

SAVE THE DATE : October 22, 2014 Think Tank 2.0 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.

Read More
webinar-sept
Tackling the Challenges of Trade Reconstruction

Join SmartBrief Risk and Compliance Editor Sean McMahon and panel Harald Collet, Stephen Marsh and Mitch Avnet, as they discuss trade reconstruction challenges in a webinar sponsored by Bloomberg Vault Tuesday September 16 1:00pm-2:00pm EDT

Read More
1 10 11 12 13 14 16
Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy
magnifier