Compliance Risk Concepts: Senior Compliance Consultants & Executives.

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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.
Annual Broker-Dealer Regulatory Review and 2019 Outlook
Annual Broker-Dealer Regulatory Review and 2019 Outlook

With 2018 behind us and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of 2018 in an effort to anticipate what this year may bring for Broker-Dealers.

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Modern Compliance Part 4
Compliance Technology: The Quest for the Ideal Solution

This is the fourth of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares the process of building a business case within your firm to support investment in compliance technology, arguing the case that technology vendor due diligence will ensure an efficient and productive future with confidence. Today’s […]

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ia-2019-outlook
Investment Advisers 2018 Regulatory Review and 2019 Outlook

With 2018 in rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to anticipate what this New Year may bring for Investment Advisers.

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Due Diligence Works, Inc.
Mitch Avnet Discusses the Evolution of Communication with DDW

Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of Compliance Risk Concepts, to discuss the evolution of communication, particularly as it relates to texting and social media, and the growth opportunity it presents for Financial Services firms and their Financial Consultants. They discussed the business potential and how best […]

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James K Ryan
James K. Ryan, Former SVP of Sales at Reg Ed to Spearhead Business Development Efforts at Compliance Risk Concepts LLC

NEW YORK, NY /PRESS RELEASE/ - Building on its leadership position in the compliance professional services sector, Compliance Risk Concepts LLC (CRC) today announced the hire of James (Jim) K. Ryan as Director of Business Development. At CRC, Jim will continue to drive growth and expansion in CRC's core business verticals, which include broker-dealer, investment […]

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SaaS solutions offer a number of advantages from an implementation standpoint.
Choosing Compliance Technology: Options and Considerations

This is the third of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares the process of building a business case within your firm to support investment in compliance technology. Implementing compliance technology doesn't have to happen all at once, and it doesn't have to happen inhouse. Cloud-based […]

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FINRA 2018 Exam Findings Report and Regulatory Update Reminder
FINRA 2018 Exam Findings Report and Regulatory Update Reminder

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has reviewed this report and summarized key takeaways in FINRA 2018 Exam Findings Report and Regulatory Update Reminder. As always, we understand that industry professionals have […]

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tech gaps
The Case for Compliance Technology: Where’s the Problem?

This is the second of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares his solution to one of the most prevalent fundamental challenges firms face today, an over-reliance on manual, bifurcated and disparate processes. This over-reliance limits their ability to get a comprehensive, accurate […]

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compliance in tech
The Business Case for Technology in Compliance

This is the first of our monthly blogs for Hearsay Systems.  Over the next few months, in conjunction with Hearsay, our goal is to arm the financial services industry with information and examples to help risk and compliance professionals build a successful business case to enable texting capabilities within their respective organizations. Right this moment, […]

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Adviser and Broker-Dealer Annual Regulatory Deadlines
Adviser and Broker-Dealer Annual Regulatory Deadlines

Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to remind you that for brokers and advisers with a December fiscal year-end, annual amendments have filing deadlines 60 to 90 days following December 31st. To facilitate streamlined regulatory reporting and filing, CRC offers a suite of services, as outlined below. […]

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