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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.
Summer Fun and Q3 Federal Filings For Investment Advisers

As the second quarter of 2017 draws to a close we’ve put graduations behind us […]

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PaCE: Policy and Controls Environment

CRC furnishes sensible regulatory risk management services and support that achieve a comfortable balance between […]

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WTF? Why are You Such a Fiduciary?

BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance […]

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Webinar: Establishing A Regulatory-Proof Broker/Dealer Compliance Program

Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance […]

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Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers

  Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance […]

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Part 3 of 3: It's 2017, What Are The SEC’s Priorities?

Assessing Market-Wide Risks Spotlight On Talent: Portia Amato, Compliance Officer  This is the third installment […]

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Compliance Pro-Tip: Lowering Your Research Costs

Looking for an easy way to lower the operating costs of your Research Department? Consider […]

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Part 2 of 3: It's 2017, What Are The SEC’s Priorities?

Risks Specific To Senior Investors and Retirement Investments Spotlight On Talent: Portia Amato, Compliance Officer  […]

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Part 1 of 3: It's 2017, What Are The SEC’s Priorities?

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By […]

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Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head […]

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