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.
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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bitcoin
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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Hearsay
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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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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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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