Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Compliance Risk Management Services
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  • 646-346-2468
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  • 312-471-1601
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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.
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Broker-Dealers: Let’s Talk Turkey – Don’t Get “Carved” Up By Year End Requirements

As we approach the Thanksgiving Holiday, the end of 2017 will be here before we […]

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Phocion Helps Open Door To GIPS® Verification Services At CRC

Through our strategic agreement with Phocion Investment Services (Phocion), Compliance Risk Concepts ‎(CRC) is proud […]

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Documenting Effective Onboarding Due Diligence [webinar]

As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory […]

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Lowering Your Cost Of Compliance [video]

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the […]

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financial-regulations
ADV Regulatory Changes For Investment Advisers

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form […]

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Compliance Risk Concepts and NexTier Consulting Solutions Team Up To Serve Investment Management Community

NEW YORK (NEW YORK) | CHICAGO (ILLINOIS) Compliance Risk Concepts ("CRC"), a top-tier compliance consulting […]

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Webinar: How The CRC / Phocion Partnership Benefits YOU

Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services Join CRC […]

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Compliance Risk Concepts and Phocion Investment Services Formalize Strategic Alliance

NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts ("CRC"), a top tier compliance […]

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Turning Up The Heat on Social Media Regulation

When I was a freshman at DeSales University my younger, teenaged sister called me one […]

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Best Practices for Managing Conflicts of Interest [Webinar]

  If your firm is struggling with the management and analysis of conflicts of interest, […]

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