Our team’s unparalleled industry expertise and experience, combined with a deep understanding of the underpinnings of regulation, informs the superior quality of our expert reports and testimony in arbitration and civil proceedings.
CRC provides a wide-range of expert witness services specifically focused on regulatory, enforcement and litigation matters involving broker-dealers and asset management firms. Our expert witness services include:
Expert witness testimony
Strategic advisory work specific to any pending regulatory problem, examination or disciplinary action
Serving as an independent consultant in SEC, FINRA and State enforcement matters
Due diligence and testimony preparation
Providing wellness checks to ensure the adequacy of a firm’s compliance and supervisory infrastructure in response to any regulatory mandates/requirements.
Each member of the CRC leadership team has approximately 25 years of relevant industry knowledge and “in-the-seat” experience. CRC’s knowledge of current industry best practices and regulatory expectations distinguishes our expert witness services and offers meaningful efficiencies through rapid comprehension of challenging issues and risks.
What We Do
At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.