Author Archives: Mitch Avnet

About Mitch Avnet

Mitch Avnet is the founder and Managing Partner of CRC LLC. Mitch Avnet is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements. Click Here to read Mitch's latest articles | Follow Mitch: @C_R_Concepts and LinkedIn

ALERT: FINRA Cyber-Security Sweep

In light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose FINRA is now conducting an assessment of firms’ approaches to managing cyber-security threats.The four broad goals that you need to know about FINRA’s Cyber Security assessment… Continue reading

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