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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.
what-are-the-secs-priorities
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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lower-research-costs
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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2017-sec-600-2
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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Anti-Bribery Regulation and Enforcement: Are Things About to Change?

Spotlight On Talent: Dan Dorsky, Principal and Head of Anti-Corruption and Ethics These are fascinating […]

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out-with-old
Out With The Old...In With The New

COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior […]

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hpe-roundtable
Information Governance Financial Regulatory Compliance Roundtable

Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE […]

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You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most […]

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dont-be-a-turkey
Broker Dealers, Don’t Be A Turkey. Complete Your Year-End Requirements!

With the end of 2016 just days away, 2017 will be here before you know […]

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