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.
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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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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webinar
[Webinar] Designing a Proactive Regulatory Approach To Advisor Texting

A proactive approach is best when it comes to advisor-client texting. Join us to learn why! Join our webinar on November 7th at 1pm EDT when Mitch Avnet of Compliance Risk Concepts ("CRC" ) goes online with Phil Burch of Hearsay Systems to discuss how technology can help compliance and supervision teams proactively mitigate risk […]

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Join CRC as We Give Thanks to our Clients & Friends

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 Award-Winning Artist Kim Cogan. When: November 14th, 5:30pm - 8:30pm Where: Gallery Henoch, 555 West 25th Street, New York, NY WILL YOU BE JOINING US? Use […]

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symposium
Monitoring and Surveillance Symposium for Broker-Dealers Recap

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 of ideas and knowledge surrounding monitoring and surveillance challenges they face within the securities industry. Hosted by Abel Noser and Compliance Risk Concepts, The Kitano New York offered […]

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Monitoring and Surveillance Symposium For Broker-Dealers
Monitoring and Surveillance Symposium For Broker-Dealers

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 that brings together Senior Level Compliance and Risk Management Executives to engage in the exchange and sharing of ideas, knowledge and various concepts surrounding monitoring and surveillance […]

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coinbase-news
News Update: Coinbase Hires Jeff Horowitz to Lead Compliance Initiative as CCO

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 joining Coinbase, Horowitz served as the Global Head of Compliance at Pershing, and previously held positions managing AML and compliance programs at Citigroup and Goldman Sachs. "As Coinbase […]

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new crc website launch
Compliance Risk Concepts Launches New Website, Commemorating 5-Year Anniversary

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 5-year anniversary. Mitch Avnet, Managing Partner and Founder of CRC, says, "The launch of our new website has been a significant undertaking to further ensure our clients and followers have […]

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