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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Expert Witness Services

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 Expert Services

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.

The Distinguishing


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.

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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.
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