Compliance TV - Compliance Risk Concepts

In Compliance Risk Management Videos, Compliance-TV

Posted March 20, 2019

Coming Soon: All New Season of CRC-TV

I Want My CRC-TV! Always ahead of the curve, Compliance Risk Concepts explores the endless opportunities of Compliance and Video in a New Season of CRC-TV. Coming soon to screen near you, the All [...]

By Kaitlyn Gibbs

In Compliance Bulletin, Compliance-TV, Compliance/ Risk Management

Posted January 8, 2019

FINRA 2018 Exam Findings Report and Regulatory Update Reminder

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has [...]

By CRC

In Compliance-TV, CRC Company Updates

Posted September 18, 2018

The Compliance Crusader Project

It’s a bird. It’s a plane. It’s the Compliance Crusader! Today is the day! Join us for the Compliance Crusader Project, a short journey behind the mask and inside the intrigue [...]

By CRC_admin

In Compliance-TV

Posted November 2, 2017

CRC-TV Annual Compliance Reviews and CEO Certification

Episode 3: Hosts Mitch Avnet discusses the following information specific to Annual Compliance Reviews and CEO Certification process: · Holistic Review of Your Organization · Leveraging External [...]

By CRC_admin

In Compliance-TV

Posted November 2, 2017

CRC-TV Interview with Ian Manocha, CEO of Gresham Computing

During the recent collaboration on: Data Integrity and Governance for FINRA registered broker-dealers: http://goo.gl/lw3v45, Mitch Avnet, Compliance TV host, sat down with Ian Manocha, CEO of [...]

By CRC_admin

In Compliance-TV

Posted November 2, 2017

CRC-TV New Compliance Hotline Mobile App for Financial Services

In this episode of Compliance-TV Mitch Avnet and Roland Reyes discuss the launch of the new Compliance Hotline mobile app. Financial Service organizations can now receive on-the-go answers from [...]

By CRC_admin

In Compliance-TV

Posted November 2, 2017

CRC-TV Beware of the Consulting “Rope-a-Dope”

Compliance TV In this episode host Mitch Avnet answers the question, what was your goal in establishing Compliance Risk Concepts 4 years ago? As a former Chief Compliance Officer (“CCO”), Mitch [...]

By CRC_admin

In Compliance-TV

Posted November 2, 2017

Lowering Your Cost Of Compliance

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the endless regulatory noise into coherent action [...]

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