Since our firm’s inception, we’ve partnered with Compliance Risk Concepts to help us navigate the compliance process as a new independent equity research provider. Even with an experienced full time Chief Compliance Officer on staff, we found CRC’s services to be extremely valuable to establishing our policies and procedures as well as client onboarding. Mitch helped us understand from the beginning what was required in order to meet and exceed the compliance needs of the buyside, even down to a firm level. From a service perspective he’s been very responsive. Mitch is willing to jump on calls at a moment’s notice and respond to our questions in a thorough and timely manner. Having Mitch and CRC as a trusted advisor augments our firm’s credibility from a compliance perspective that we felt strongly enough to mention CRC’s name on our own company website.
Tom Palenschat –Edgewater Research | Sales, Partner