Compliance Problem

Service Model & Verticals

Latest From CRC

Blog

Monthly Regulatory Summary (February 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert […]

Monthly Regulatory Summary (January 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

Considerations for FINRA Membership involving Digital Asset Securities

In November 2022, FINRA published a podcast that discussed available guidance concerning several paths through […]

View All Blog Posts

CRC in media

San Francisco-based Coinbase makes Wall Street Debut

KTVU's Alex Savidge spoke with Mitch Avnet, Managing Partner at Compliance Risk Concepts, about Coinbase......

Pros and cons of investing in bitcoin

Mitch Avnet, founder of Compliance Risk Concepts, explains the surging popularity behind bitcoin and whether......

Headquarters: NY

NY Office
Compliance Risk Management Services

40 Exchange Place, Suite 402 New York, New York 10005
646-346-2468

Chicago

IL Office

560 West Washington Blvd. Suite 340 Chicago, IL 60661
312-471-1601

Houston

TX Office

12 Greenway Plaza, Suite 1100 Houston, TX 77046
713-622-9939

Beverly Hills

CA Office

9171 Wilshire Blvd #500, Beverly Hills, CA 90210
424-380-9010

Irvine

CA Office

One Park Plaza, #600 Irvine, CA 92614
1 (888) 588-4272

Portland

OR Office

7130 SW 5th Ave Portland, Oregon 97210
503-837-8799

Broker Dealer Compliance Services

Research Compliance

SEC and State Registered Investment Adviser Support

National Futures Association (NFA) Compliance Support

Money Services Businesses

Independent Due Diligence

Enterprise Compliance Risk Management

Control Room Compliance

Financial and Operations Principal (FinOp) Services

Blockchain Assets / Cryptocurrency Consulting

Research Supervisory Analyst (SA) Services

Expert Witness Services

Executive Leadership and Team

mitch-avnet

Founder and Managing Partner

roland-reyes-pic

Principal and Head of Execution Services

jaclyn-bowdren

Principal and Chief Operating Officer

david-j.-amster

David J. Amster

Principal and Head of Fund and Dealer Advisory

View all Members

partners

Logo_GSD (2)

GlobalSource Direct

Global-Relay (1)

Solomon-Exam-Prep (1)

Solomon Exam Prep

MCO (1)

View all partners

testimonials

In today’s rapidly changing regulatory environment along with the ever constant drive for efficiency, CRC is the perfect partner...

Paul DiBenedetto

View all testimonial

Flip Book

Download Flip Book

Search for:

Download Our Monthly Bulletin

Download Our Monthly Bulletin

No Comments

May 16, 2019

Please complete the form below to download your copy of the CRC Monthly Bulletin.

First Name *

Last Name *

Email *

Company Name *

Phone *

Areas of Interest or Current Challenges (you may select more than 1) *

WSP/P&P evaluation and creation

FinOp Services

Branch Audit Support (technology agnostic)

Advertising Review editorial/expert review services (technology agnostic)

Independent BC/DR Readiness Assessment

SEC – Quarterly routing disclosure review and recommendations

Mock SEC Audit

Independentt ADV P1, 2A, and 2B evaluation/recommendations

OtherOther

Sending

Δ

RECENT POSTS

Monthly Regulatory Summary (February 2023)

The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

Monthly Regulatory Summary (December 2022)

Monthly Regulatory Summary (November 2022)

Monthly Regulatory Summary (October 2022)

Monthly Regulatory Summary (September 2022)

Monthly Regulatory Summary (August 2022)

Monthly Regulatory Summary (January 2023)

Leave a Reply Cancel reply

Your email address will not be published. Required fields are marked *

Comment *

Name *

Email *

Website

Save my name, email, and website in this browser for the next time I comment.

Δ

Compliance Risk Concepts: Senior Compliance Consultants & Executives.

New York Office Chicago, IL Office Houston, TX Office Irvine, CA Office Beverly Hills, CA Office Charleston, SC Office Portland, OR Office

CRC NEWSLETTER

Stay updated with all latest updates,upcoming events & much more.

CRC Offices

New York Office Chicago, IL Office Houston, TX Office Irvine, CA Office Beverly Hills, CA Office Portland, OR Office

SERVICE MODEL & VERTICALS

Broker Dealer Compliance Services
SEC and State Registered Investment Adviser Support
National Futures Association (NFA) Compliance Support
Enterprise Compliance Risk Management
Financial and Operations Principal (FinOp) Services
Blockchain Assets / Cryptocurrency Consulting
Research Supervisory Analyst (SA) Services
Independent Due Diligence
View All Services

LATEST ARTICLES & VIDEOS

Monthly Regulatory Summary (February 2023)

March 8, 2023

The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

February 9, 2023

Monthly Regulatory Summary (January 2023)

February 7, 2023

CRC NEWSLETTER

Stay updated with all latest updates,upcoming events & much more.

Subscribe

Full Name *

Email *

Captcha

Δ

We respect your privacy. We will never share your name & email with any 3rd party.

CRC NEWSLETTER

Stay current with all latest updates, upcoming events & much more.

*Terms and conditions apply.

Subscribe

Subscription Popup

Full Name *

Email *

Captcha

Δ

We respect your privacy. We will never share your name & email with any 3rd party.

CRC NEWSLETTER

Stay current with all latest updates, upcoming events & much more.

*Terms and conditions apply.

Copyright Compliance Risk Concepts | All Rights Reserved © 2021 | Privacy Policy