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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Broker Dealer Compliance Services

CRC is staffed with a team of Executive Level Compliance Officers that specialize in establishing, maintaining and executing Institutional / Capital Markets, Retail and Ultra High-Net Worth Broker-Dealer (”BD”) Compliance Programs.

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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Our Support Services includes:

FINRA New Membership Applications (“NMA”) and Continuing Membership Applications (“CMA”)

Affiliated Investment Advisor Conflicts of Interest Assessments

Overall Compliance Strategies and Execution

Outsourced CCO

Written Supervisory Policies and Procedures

Annual WSP CEO Certification Reports

Fraud and AML Investigations

Annual Anti-Money Laundering Assessments

Market Access (SEC Rule 15c3-5) Assessments

SEC, FINRA, and State Inquiry and Investigation Responses

Advertising and Sales Literature Reviews

Customer Transactions and Employee Personal Trading Reviews

Annual or Periodic Branch and Desk Mock Examinations

E-mail Reviews, including implementation of surveillance platforms

Financial and Operations Principal (FinOp) Services

Annual Compliance Meetings and Firm Element Training

Ongoing Registration Services (Form U-4, Form U-5, Form BD)

CRC specializes in the creation of tailored enterprise compliance risk management programs that fully reconcile to an organization’s governance standards and desire to establish a “culture of compliance”

CRC’s experts have the ability to offer the following end-to-end compliance support services:

  • Business Ethics
  • Compliance Operational Risk Assessments
  • Social Media Business and Compliance Optimization
  • Compliance Technology Road-Mapping
  • Training and Development

Regulatory Guidance for Capital Markets and Investment Banking Services include:

  • Full spectrum of securities product offerings including:
    • Equities
    • Fixed Income
    • Equity, Convertible and Fixed Income Origination, Underwriting and Syndicate
    • OTC Derivatives and Listed Options
    • Securitized Products
    • Research
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