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.
Steve Brown, former Senior Director within PWC’s Risk and Regulatory Practice, to lead Broker-Dealer Client Services

Compliance Risk Concepts LLC (“CRC”) today announced that Steve Brown is joining the compliance professional services organization as Director of Broker-Dealer Client Services.  Steve brings 25-plus years of industry and regulatory compliance experience to advise CRC’s clients. Over the duration of his career, Steve has been viewed as a leader in investment banking and control […]

Read More
crcblockchainphoto1
News Update: SEC Issues Statement Regarding Digital Assets

Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued a joint statement in conjunction with FINRA’s general counsel addressing various elements of digital currency amid request for clarity on whether broker-dealers can hold digital assets under federal securities laws. The regulator reiterated its growing concerns relative to investor protection […]

Read More
mitch
The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the fiduciary duty for investment advisers by issuing Regulation Best Interest (“Reg BI”). Hearsay recently reached out to Mitch Avnet of Compliance Risk Concepts (“CRC”) to discuss […]

Read More
cropped-regbifinal-copy-
Regulation Best Interest

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the fiduciary duty for investment advisers by issuing Regulation Best Interest (“Reg BI”). The SEC is giving firms a transition period until June 30, 2020.  Reg BI […]

Read More
Hearsay Social Summit Top Takeaways
2019 Summit Takeaways: Compliance Trends in Advisor Communications

Mitch Avnet had the privilege of moderating a session on “Compliance Trends in Advisor Communications” at Hearsay Summit this year. The session was well attended by compliance officers from enterprise wealth management and insurance companies whose respective organizations have taken a careful, thoughtful and pragmatic approach to enable advisors to communicate with clients and prospects over multiple channels.

Read More
Download Our Monthly Bulletin

Please complete the form below to download your copy of the CRC Monthly Bulletin.

Read More
Thank You For Your Interest

Thank you for contacting Compliance Risk Concepts. Download you Monthly report here.

Read More
COMPLIANCE ROCK STAR
The Compliance Boom In Banking | The Economist

(The Economist | May 2019) Excerpt from the article Rise of the No Men The past decade has brought a compliance boom in banking. A recent episode of “Billions”, a television drama about Wall Street, captured the rainmakers’ frustration: so fed up is “Dollar” Bill Stern with having his wings clipped by Ari Spyros that […]

Read More
compliance pharma
DOJ Signals Compliance Fixation with Recent Opioid Charges

Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 article titled With Opioid Charges, DOJ Signals Compliance Fixation by Alison Noon. Mitch reasoned, “If a company has reservations about a dual-function compliance officer, it can help to follow the money and decide whether their other compensation could undermine their […]

Read More
Join CRC For Our FINRA Happy Hour Event

You are Cordially Invited to FINRA Happy Hour EventAt CRC, we like to keep it breezy,so please come join us at this greatSpeakEasy! May 16th from 5:00-7:00 p.m.Denson in D.C. 600 F St NW, Washington, DC 20004www.densondc.com WILL YOU BE JOINING US? Use the form below to RSVP to our Anniversary Celebration event. If you […]

Read More
Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy
magnifier