As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
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.
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...
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.
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.
On 10/30/2013, CRC conducted its first industry Compliance Roundtable. Hosted by Barry Barbash, Partner at […]
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.
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.