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Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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SEC and State Registered Investment Advisor Support

CRC has a dedicated team of former Chief Compliance Officers and Compliance Executives that are versed and experienced in establishing and maintaining sustainable and scalable Investment Adviser compliance programs for both SEC and State registered advisers. Our support model includes all aspects of IA Compliance as follows:

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

Our support services includes:

Fund Services – Hedge Funds, Private Equity, 40 Act Funds

Applications for Federal or State Registration

Outsourced CCO

Affiliated Broker-Dealer Conflicts of Interest Assessments

Overall Compliance Strategies and Execution

Creating and Updating Code of Ethics and Compliance Policies and Procedures Manuals

SEC and State Inquiry and Investigation Responses

Marketing Material Reviews

Customer Transactions and Employee Personal Trading Reviews

Rule 206(4)-7 Annual Compliance Reviews and Mock Audits

Annual or Periodic Regulatory Training

Ongoing Registration Services (Form ADV Part 1, 2A and 2B)

Form PF, Form 13F, Schedule 13G, Forms 3, 4 and 5, Form 13H Large Trader and Form Filings

Global Inquiries

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