Stay Up to Date With CRC Blog

Come celebrate Compliance Risk Concepts’6 year anniversary at Gallery Henoch with an evening of food, drinks and art. Featuring New City Paintings, Oil Paintings of NYC & Brooklyn by [...]

To help navigate the wide array of compliance and risk management issues impacting the financial services sector today, broker-dealer compliance officers came together for a mastermind exchange [...]

It’s a bird. It’s a plane. It’s the Compliance Crusader! Today is the day! Join us for the Compliance Crusader Project, a short journey behind the mask and inside the intrigue [...]

Join Abel Noser and Compliance Risk Concepts September 5th for the Monitoring and Surveillance Symposium for Broker-Dealers. This afternoon symposium is intended to be a fully interactive session [...]

Coinbase, who recently acquired broker-dealer Keystone Capital Corp in June 2018, announced the addition of Jeff Horowitz as the Cryptocurrency exchange’s new Chief Compliance Officer. Prior to [...]

Compliance Risk Concepts, LLC, a business-focused team of seasoned compliance professionals providing top tier compliance risk management services, has launched its new website in honor of its [...]

Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement in digital currency. This notice addressed the fact that the market for digital assets, [...]

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- for financial [...]

TAMPA, Fla., 06/18/2018 –Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement its broker-dealer filing. The Tampa-based RIA announced on April 6 its [...]

Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June 13th for the Sterling Financial Services Summit: Human Capital and Compliance – Bridging the [...]