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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.
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.

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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 […]

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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 […]

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Join CRC For Our FINRA Happy Hour Event

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

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2019 Annual FINRA Conference
2019 FINRA Annual Conference

CRC is delighted to sponsor the upcoming 2019 FINRA Annual Conference on May 15-17 in Washington, D.C. Please stop by our booth to say hello and check out the newest addition to the Compliance Crusader family! FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most […]

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SEC Asks for Public Comments on How Characteristics of Digital Assets Impact the Custody Rule

President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a letter to President & Chief Executive Officer of the Investment Adviser Association, Karen Barr, on behalf of the division’s staff, asking investment advisers for public comments and input on the Custody Rule as it applies to the emerging landscape of […]

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Implementing Your Compliance Technology Roadmap

This is the fifth, and final in our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares his thoughts on the final phase of implementation in your compliance strategy, and the important role a project manager or PM will play in the process. Reaching the implementation stage of your […]

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Coming Soon: All New Season of CRC-TV

I Want My CRC-TV! Always ahead of the curve, Compliance Risk Concepts explores the endless opportunities of Compliance and Video in a New Season of CRC-TV. Coming soon to screen near you, the All New Season of CRC-TV offers a refreshing look at compliance through a fun and creative lens. Stay tuned and learn how […]

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