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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.

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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Conferences and
Best Practices for Managing Conflicts of Interest [Webinar]

  If your firm is struggling with the management and analysis of conflicts of interest, […]

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Compliance Bulletin...
Summer Fun and Q3 Federal Filings For Investment...

As the second quarter of 2017 draws to a close we’ve put graduations behind us […]

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Broker Dealer...
WTF? Why are You Such a Fiduciary?

BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance […]

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Conferences and
Webinar - Risk, Mitigation and Insurance Issues for...

  Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance […]

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Compliance Bulletin...
Part 3 of 3: It's 2017, What Are...

Assessing Market-Wide Risks Spotlight On Talent: Portia Amato, Compliance Officer  This is the third installment […]

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Compliance/ Risk
Compliance Pro-Tip: Lowering Your Research Costs

Looking for an easy way to lower the operating costs of your Research Department? Consider […]

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Compliance Bulletin...
Part 2 of 3: It's 2017, What Are...

Risks Specific To Senior Investors and Retirement Investments Spotlight On Talent: Portia Amato, Compliance Officer  […]

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Compliance Bulletin...
Part 1 of 3: It's 2017, What Are...

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By […]

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Broker Dealer...
Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head […]

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Anti-Corruption &...
Anti-Bribery Regulation and Enforcement: Are Things About to...

Spotlight On Talent: Dan Dorsky, Principal and Head of Anti-Corruption and Ethics These are fascinating […]

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Compliance Bulletin...
Out With The Old...In With The New

COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEWSpotlight On Talent: Lilian Colpas, Senior Compliance […]

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Conferences and
Information Governance Financial Regulatory Compliance Roundtable

Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE […]

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Compliance Bulletin...
You’ve Established The Tone At The Top –...

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONSSpotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent […]

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Broker Dealer...
Broker Dealers, Don’t Be A Turkey. Complete Your...

With the end of 2016 just days away, 2017 will be here before you know […]

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CRC Company...
Compliance Risk Concepts NYC Headquarters Is Moving

  It is with great enthusiasm that Compliance Risk Concepts (CRC) is proud to announce […]

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