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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Our experience with the CRC team has truly been incredible. They have gone above and beyond the standard role of a "Consultant" in helping us launch a FINRA-licensed Broker Dealer and ATS from scratch. Two main areas of excellence have really stood out to us while working with the CRC team.

First: our business model is novel and complex, and CRC has been instrumental in helping the regulators understand what we are trying to accomplish. Their ability to effectively "back channel" with the regulators on various points has truly made the difference in keeping us on track, and on schedule, for FINRA approval.

Second: the CRC team has also evolved into a trusted, valued strategic thought partner. They think one step ahead on bigger picture FINRA/SEC themes and concepts. Since we are developing our BD / ATS from the ground up, the CRC team's forward thinking and guidance has helped save us time and money in technology development costs (by avoiding some pitfalls, and adding some features, to preemptively address potential regulatory concerns).

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