Compliance Risk Concepts @C_R_Concepts
Helping clients maintain balanced #compliance operational #riskmanagement programs & meet #regulatory expectations. A @JWMichaels Company. compliance-risk.com New York, NY Joined February 2013-
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👋 Meet Jaclyn Bowdren, who serves as CRC’s Chief Operating Officer and is responsible for executing the company’s strategic business plans. Learn more about Jaclyn and what she brings to the team at CRC! 🔗 compliance-risk.com/team/jaclyn-bo…
2026 Regulatory Outlook: Key Insights for RIAs & BDs The 2026 landscape is shaping up to be one of the most complex yet for Registered Investment Advisers and Broker-Dealers. Access the full report here: compliance-risk.com/2026-regulator… #Compliance #Regulatory #Regulation
A recent $986M settlement underscores how past activities can resurface years later, creating significant regulatory and financial consequences. #Compliance #RiskManagement #FinancialServices #RegulatoryEnforcement #Governance wsj.com/finance/bankin…
As the Family Office landscape continues to grow and evolve, CRC-Oyster’s staff, who have been on the front lines for decades, will support you in the building, implementation, and scaling of your Family Office. Learn more: 🔗 compliance-risk.com/service/family…
Once again, I’m saved by the miracle of CRC-Oyster (and lasagna)! #MemeMonday #ComplianceMeme #ComplianceJoke #ComplianceHumor #ComplianceConsulting #Compliance #Regulatory
#FridayFoodForThought 💭 With our Founder and Managing Partner, Mitch Avnet! #Compliance #RiskManagement #RegulatoryCompliance
With the launch of its new crypto-focused program, FINRA aims to equip brokerage firms and reps with practical knowledge on blockchain, digital assets, fraud prevention, and the broader crypto ecosystem. Read more: investmentexecutive.com/news/from-the-…
Who’s behind CRC? Meet our Founder & Managing Partner, Mitch Avnet. 👋 Get to know his story 👉 compliance-risk.com/team/mitch-avn…
CRC’s Anti-Corruption & Ethics services help organizations strengthen policies, programs, and culture across industries. Learn how CRC can support your compliance and ethics initiatives. 🔗 compliance-risk.com/service/anti-c… #Compliance #RiskManagement #AntiCorruption #Ethics
With great power comes great responsibility. #MemeMonday #ComplianceConsulting #OysterConsulting #ComplianceRiskConcepts #CRC #Compliance #ComplianceOfficer
The SEC recently announced a settlement with a fund adviser over allegations of misleading investors. This case is another reminder that transparency and accuracy in disclosures are critical to maintaining investor trust. Read more on Bloomberg: 🔗 bloomberg.com/news/articles/…
Our CRC-Oyster Monthly Regulatory Summary is now live, covering the latest updates from FINRA, SEC, NFA, and FinCEN. Read more: lnkd.in/e5SWc87f #RegulatoryUpdate #Compliance #FINRA #SEC #NFA #FinCEN #BrokerDealer #InvestmentAdvisers #AML #RiskManagement
FINRA has filed a new complaint alleging failures in customer authorization, oversight of financial discrepancies, and inadequate recordkeeping. 🔎 Read the full Bloomberg coverage here: bloomberg.com/news/articles/… #FINRA #Compliance #RegulatoryUpdates #BrokerDealer
CRC closely works with our research clients to ensure an efficient and cost-effective Supervisory Analyst (“SA”) approval process for equity and fixed income research. Click below to learn more about our Service Model & Verticals: compliance-risk.com/service/resear…
For your information, there's a lot more to compliance than people think. #MemeMonday #ComplianceConsulting #OysterConsulting #ComplianceRiskConcepts #CRC #Compliance #ComplianceOfficer
The SEC and DOJ have charged the owner of several Pennsylvania investment firms in connection with a $770 million Ponzi scheme that left investors with an estimated $400 million in losses. #Compliance #RiskManagement #RegulatoryUpdates complianceweek.com/regulatory-enf…
Find out more at compliance-risk.com #Compliance #RiskManagement #RegulatoryCompliance #ComplianceConsulting
This case underscores the importance of strong supervisory systems, suitability reviews, and clear conflict-of-interest controls. For firms, proactive oversight isn’t just regulatory—it’s reputational. #Compliance #RiskManagement #RegulatoryOversight investmentnews.com/regulation-and…
We assist clients in conducting Control Room framework assessments in the handling of MNPI and provide recommendations for developing, designing and implementation. Click below to learn more about our Service Model & Verticals: compliance-risk.com/service/contro… #ControlRoomCompliance
Find out more at compliance-risk.com
Richard Bistrong @RichardBistrong
10K Followers 3K Following CEO, Front-Line Anti-Bribery LLC | Compliance Consultant, Writer & Speaker | Interested in front-line anti-bribery, corruption & compliance challenges.
Bruce Weinstein, PhD @TheEthicsGuy
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Adam Turteltaub @AdamTurteltaub
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Debra Sabatini Hennel... @debsabhen
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Society of Corporate ... @SCCE
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Vorne @Vorne153762
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FRossiDonovan @RossiDonovanFM
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Victoria @rn9JNny6C1yM5
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Lily @7PS9V24dn0p3v1
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Rich Gee @richgeegroup
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JB @jbux01
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Andrew Swirsky - Wate... @Andrew_Swirsky
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Richard Bistrong @RichardBistrong
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Adam Turteltaub @AdamTurteltaub
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Debra Sabatini Hennel... @debsabhen
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83 Followers 89 Following First of all, Papa Smurf didn't create Smurfette. Gargamel did. She was sent in as Gargamel's evil spy with the intention of destroying the Smurf village.
Cointelegraph @Cointelegraph
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