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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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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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Turning Risk Into Reward | The Electronic Flipbook

In keeping with our overall objective, we are pleased to announce the launch of CRC’s new electronic brochure. This interactive overview provides a consolidated view of client testimonials, our services and solutions and the verticals we currently support.

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ALERT: FINRA Cyber-Security Sweep

In light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms' IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose FINRA is now conducting an assessment of firms' approaches to managing cyber-security threats.The four broad goals that you need to know about FINRA's Cyber Security assessment...

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Compliance Bulletin 01-14

The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call”.

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2014 National Examination Priorities

On January 9th, the SEC published it's National Examination Priorities for 2014. On the top of their list - Fraud Detection and Prevention, Corporate Governance, Conflicts of Interest, Enterprise Risk Management, Technology and issues specific to Dual Registrants.

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