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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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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Compliance Bulletin 01-13

The monthly Compliance Bulletin Service provides the information your organization needs- at the speed it can handle it. Let the trusted Compliance professionals at CRC do the hunting, gathering and data-mining for you. Take a peak by downloading a complimentary Compliance Bulletin.

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It's Time For Your 15 Minutes...

It's Time For Your 15 Minutes... As a CRC insider, for a limited time we are offering a 15 minute call to discuss a complimentary review of one of the following...

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Compliance Risk Concepts (CRC) Holds First Compliance Roundtable in NYC

On 10/30/2013, CRC conducted its first industry Compliance Roundtable. Hosted by Barry Barbash, Partner at Willkie, Farr and Gallagher LLP, there were over 30 people in attendance. Panelists and guests included Chief Compliance Officers and Senior Compliance Officers from TD Securities, PNC Capital Markets, Santander, Wells Fargo, Deutsche Bank and Key Capital Markets. In addition […]

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Three Investment Advisers Sanctioned for Repeatedly Ignoring Problems with their Compliance Programs

The recent action taken by the SEC against three Investment Advisers should serve as a “wake up call” for the IA sector. IAs should utilize the recent sanctions as a “road map” / “checklist” for their own internal controls.

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Compliance In Financial Services White Paper

Compliance in Financial Services White Paper | Compliance organizations have had good success leveraging new technologies to improve efficiency, but recent trends as discussed will increasingly force compliance leaders to take action to mitigate the risks arising from the data and regulation explosion.

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You Are Invited To Our Roundtable | Oct. 30th

Round table discussion of senior compliance risk management executives from leading financial services institutions on October 30, 2013. Expected attendees include other senior compliance risk management executives.

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