Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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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.
Monthly Regulatory Review and Outlook (November 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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Monthly Regulatory Review and Outlook (October 2020)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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News Update: SEC fines Firm $100,000 for Failure to Maintain Text Messages

Background & Summary The Securities and Exchange Commission (“SEC”) entered an order (“Order”) against a broker-dealer for […]

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The Silicon Review: “30 Fastest Growing Private Companies to Watch in 2020.”

The Silicon Review  "Compliance demands in the financial services sector are surging and the operational […]

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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 […]

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News Update: SEC Issues Statement Regarding Digital Assets

Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]

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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 […]

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Regulation Best Interest

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]

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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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