Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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NY Office
Compliance Risk Management Services
  • 40 Exchange Place, Suite 402 New York, New York 10005
  • 646-346-2468
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IL Office
  • 560 West Washington Blvd. Suite 340 Chicago, IL 60661
  • 312-471-1601
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Houston
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Beverly Hills
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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.
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 […]

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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, […]

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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 […]

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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 […]

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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 […]

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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 […]

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finra-notice-18-20
News Update: FINRA Notice 18-20

Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement […]

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best-practices-for-employee-client-and-third-party
Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex […]

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ifp-selects-crc
IFP Selects CRC For New Broker-Dealer Filing

TAMPA, Fla., 06/18/2018 -Independent Financial Partners (IFP) has chosen Compliance Risk Concepts (CRC) to implement […]

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sterling-june-13
Sterling FinServ Summit: Mitch Avnet Joins Fireside Chat with Former FINRA Chief of Enforcement, J. Bradley Bennett

Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June […]

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