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Compliance Risk Concepts

July 16, 2018

Mitigate the Risk: Best Practices for Employee, Client and Third Party Due Diligence in the Financial Services Industry

Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- […]
April 10, 2018

Crypto Currency Consulting

Compliance Risk Concepts (“CRC”) is pleased to announce the expansion of our comprehensive compliance support services into the evolving digital currency space. Call us today to […]
February 28, 2018

Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule

Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New Requirements. It offers a snack-size snapshot of key points from our […]
January 25, 2018

Annual Investment Advisor Regulatory Review and Outlook (2017)

As we kick off 2018, it’s important to take a look back across the regulatory landscape on what transpired over the course of 2017 and look […]
September 26, 2017
whitepaper

Amendments to Form ADV Part 1A

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers to expand the information they report […]