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Institutions We Serve

From risk assessment to ongoing monitoring, we provide end-to-end compliance services to protect and grow your business.

Broker Dealers

Our Broker-Dealer consultants provide expert advice and support that helps you reduce risk and increase growth. Whether you’re starting or expanding your brokerage, we have you covered.

Starting your own RIA firm is an exciting opportunity offering independence and the chance to help clients in a meaningful way. We share in your excitement and are dedicated to supporting you every step of the way.

FinTech & Digital Assets

Our consultants offer guidance to validate program adequacy, conduct effective testing, and address regulatory inquiries, providing peace of mind in navigating market access compliance.

Futures & NFA Regulated Firms

Ongoing monitoring and reporting systems to track compliance metrics and identify improvement areas.

Exchanges & Alternative Trading Systems

We are here to help with designing and registering your exchange, providing compliance consulting, outsourcing, support and more.

Financial Institutions

We support Financial Institutions’ Enterprise Risk Management (ERM) programs to systematically identify, assess, and mitigate risks while unlocking new growth opportunities.

Family Offices

As the Family Office landscape continues to grow and evolve – driven by new products, regulatory developments, and a dynamic investment environment.

Law Firms

We are the ideal partner for establishing and operating Investment Advisor or Broker-Dealer entities. Our team offers law firms access to seasoned experts in various fields, ensuring unparalleled support and guidance.

Research & Capital Markets Firms

We partner with clients’ Compliance and Research teams during reporting season, early in the morning, late at night or whenever your Compliance team is short staffed to get research out quickly and efficiently.

The challenges facing broker dealers, investment advisors and exchanges are complex and multifaceted.

You need a partner who alleviates your pain points, helping you unlock the potential of your wealth management business. Learn what a strong partner looks like and how the right team can push your firm forward.

Get Your Guide

CRC is so thorough in its analysis of problems and opportunities, and the work they do is so professionally sound and accurate, that it leaves me the time to focus on other areas of my business that will positively benefit the bottom line. For over a decade, I have both worked directly with CRC, and also put my own clients in their care. I highly recommend their services.
Derek Bruton, Senior Managing Director, Gladstone Group

Financial Services Compliance Software Designed By Industry Experts

Every day your Compliance team’s job gets harder. New compliance requirements and expanding technology capabilities are forcing your firm to move faster to stay compliant. To protect your firm and your clients, your team needs modern regulatory compliance software.

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Planner

Our workflow scheduler and processing module. Start workflows, record tasks and work completed, document testing, and collect attestations and certifications. Reportable for oversight and surveillance.

Govern

This module houses policies, procedures, and risk assessments. Map these to regulatory requirements, products, lines of business, and supporting workflows, structuring consistent enforcement of procedures and controls. Reportable for oversight and surveillance.

Monitor

Our compliance monitoring software supervises and oversees client and employee activity. It compares client trading, investment holdings, and profile information with employee data to identify conflicts of interest and compliance issues. Supervisors are alerted to any activity that exceeds set parameters.

Trade Reporting

The CAT and CAIS functionality assist firms with SEC and FINRA trade reporting requirements. This module provides firms with consolidated reporting across order management systems and facilitates bulk updates and repairs to close out issues with source system reporting.

Fund Analyzer

This module assists firms in identifying the lowest cost share class options when purchasing mutual funds. The system utilizes MorningStar data to compare fees, account types, and returns of funds that meet the selection criteria.

Established Leadership in Regulatory Oversight

We help organizations demonstrate a commitment to a strong risk management culture. We bring a unique tailored approach to help our clients succeed in today’s challenging regulatory and economic environment, enabling and empowering our clients to manage the “cost of compliance” without sacrificing the necessary infrastructure and control environment.