Compliance Blog - Compliance Risk Concepts

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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 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.

Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements

November 14, 2017

As we approach the Thanksgiving Holiday, the end of 2017 will be here before we know it! As former Chief Compliance Officers, CRC completely understands year-end pressures for FINRA registered [...]

CRC-TV Annual Compliance Reviews and CEO Certification

November 2, 2017

Episode 3: Hosts Mitch Avnet discusses the following information specific to Annual Compliance Reviews and CEO Certification process: · Holistic Review of Your Organization · Leveraging External [...]

CRC-TV Interview with Ian Manocha, CEO of Gresham Computing

November 2, 2017

During the recent collaboration on: Data Integrity and Governance for FINRA registered broker-dealers: http://goo.gl/lw3v45, Mitch Avnet, Compliance TV host, sat down with Ian Manocha, CEO of [...]

CRC-TV New Compliance Hotline Mobile App for Financial Services

November 2, 2017

In this episode of Compliance-TV Mitch Avnet and Roland Reyes discuss the launch of the new Compliance Hotline mobile app. Financial Service organizations can now receive on-the-go answers from [...]

CRC-TV Beware of the Consulting “Rope-a-Dope”

November 2, 2017

Compliance TV In this episode host Mitch Avnet answers the question, what was your goal in establishing Compliance Risk Concepts 4 years ago? As a former Chief Compliance Officer (“CCO”), Mitch [...]

Lowering Your Cost Of Compliance

November 2, 2017

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the endless regulatory noise into coherent action [...]

Phocion Helps Open Door To GIPS® Verification Services At CRC

October 25, 2017

Through our strategic agreement with Phocion Investment Services (Phocion), Compliance Risk Concepts ‎(CRC) is proud to offer GIPS® Verification Services to existing and prospective clients. The [...]

Documenting Effective Onboarding Due Diligence [webinar]

October 25, 2017

As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory procedures for hiring or retaining statutorily disqualified and recidivist brokers. FINRA [...]

Lowering Your Cost Of Compliance [video]

October 2, 2017

ADV Regulatory Changes For Investment Advisers

September 25, 2017

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers to expand the information they report on Form ADV about [...]

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