YOU BETTER CHECK YOURSELF – BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker-Dealers regarding year-end responsibilities that must … Continue reading
Over the past several years, the massive and sweeping changes in the regulatory environment have forced financial services organizations to focus their attention and efforts toward ensuring their internal controls adequately capture all applicable laws & regulations. So many firms … Continue reading
SAVE THE DATE : October 22, 2014 Think Tank 2.0 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation. Continue reading
Join SmartBrief Risk and Compliance Editor Sean McMahon and panel Harald Collet, Stephen Marsh and Mitch Avnet, as they discuss trade reconstruction challenges in a webinar sponsored by Bloomberg Vault Tuesday September 16 1:00pm-2:00pm EDT Continue reading
Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault and Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts Continue reading
Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken as the Dodd-Frank Wall Street Reform and Consumer Protection Act, or “Dodd-Frank Act”. Under these new rules, one of the most significant challenges for Compliance … Continue reading
NEW YORK, NY, July 7, 2014 – Compliance Risk-Concepts (“CRC”) announced today that John Anderson has been named as Vice President of Business Development. Former VP of Corporate Bond Trading/Sales at Wells Fargo, John’s diversity of experience has enabled him … Continue reading
The strategic partnership between Four Points and Compliance Risk Concepts serves as a success model for Independent Broker-Dealers and Investment Advisers challenged by the current regulatory and economic environment. Continue reading
Mitch Avnet confirmed as speaker for Thomson Reuter’s Compliance and Risk Summit at the Marriott Marquis Hotel in New York City. Continue reading
When you click “Submit & View Compliance TV” you will be granted access to the premiere episode of CRC’s “outreach” web series, “Compliance TV”, filmed live in the studios of the Money Business Life Network (“MBLN”) in San Diego, CA., Continue reading
As the CCO for a financial services firm, it is important that I find ways to help control risk, improve efficiencies and keep up with the ever changing regulatory landscape. One of the best ways to do this is by engaging a professional consulting firm like CRC. CRC is the perfect partner for my Firm. Mitch and his team are true professionals with a great deal of industry experience and strong relationships with leading technology and solutions vendors. Through CRC’s efforts, I am confident we will be able to keep up with regulatory changes, reduce our risk, and improve our overall compliance program. If having a strong, organized, and relevant compliance program is important to you and your firm, I would highly recommend you contact CRC!
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