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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Mitch Avnet To Moderate Bloomberg Vault Webinar August 21st

Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault and Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts

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Bloomberg Vault Publishes Practical Guide For Compliance Officers

Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken as the Dodd-Frank Wall Street Reform and Consumer Protection Act, or “Dodd-Frank Act”. Under these new rules, one of the most significant challenges for Compliance Officers is the work set surrounding the CFTC’s trade reconstruction requirement. Trade reconstruction imposes a […]

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John Anderson Named VP of Business Development

NEW YORK, NY, July 7, 2014 - Compliance Risk-Concepts ("CRC") announced today that John Anderson has been named as Vice President of Business Development. Former VP of Corporate Bond Trading/Sales at Wells Fargo, John’s diversity of experience has enabled him to gain deep transactional knowledge of various equity, fixed income and derivative products, as well […]

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Four Points Attributes Accelerated Growth to CRC Partnership

The strategic partnership between Four Points and Compliance Risk Concepts serves as a success model for Independent Broker-Dealers and Investment Advisers challenged by the current regulatory and economic environment.

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Mitch Avnet To Speak At Thomson Reuter's Compliance and Risk Summit

Mitch Avnet confirmed as speaker for Thomson Reuter's Compliance and Risk Summit at the Marriott Marquis Hotel in New York City.

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Compliance Bulletin 03-14

Recent SEC enforcement actions have increased focus on how well advisers and boards of registered and unregistered investment companies provide compliance oversight. Download the Investment Adviser Bulletin and stay up to date with the regulatory landscape. This month Valerie Lewis examines four examples that touch on best execution practices and disclosures, valuation of securities, and oversight of sub-advisers.

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You Are Invited

SAVE THE DATE : June 5th, 2014 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.

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Compliance Bulletin 02-14

Public companies should determine the best way to embrace and utilize social media –The Social Media Governance for Public Companies Bulletin provides recommendations for guidance and ongoing training in regard to your company's Next Generation Social Media Policy.

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Compliance TV: Stayin' Classy In San Diego

When you click "Submit & View Compliance TV" you will be granted access to the premiere episode of CRC's “outreach” web series, “Compliance TV”, filmed live in the studios of the Money Business Life Network (“MBLN”) in San Diego, CA.,

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Mitch Avnet Moderates FINRA and SEC Exam Trends Panel at RCA2014

Mitch Avnet had the honor of moderating this year's RCA panel on recent FINRA and SEC exam trends. This is RegEd's 3rd year of hosting the spectacular event, that brings over 100 compliance professionals, industry experts, regulators and industry consultants together under one roof.

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