Archives

Episode 3: Hosts Mitch Avnet discusses the following information specific to Annual Compliance Reviews and CEO Certification process: · Holistic Review of Your Organization · Leveraging External [...]

During the recent collaboration on: Data Integrity and Governance for FINRA registered broker-dealers: http://goo.gl/lw3v45, Mitch Avnet, Compliance TV host, sat down with Ian Manocha, CEO of [...]

In this episode of Compliance-TV Mitch Avnet and Roland Reyes discuss the launch of the new Compliance Hotline mobile app. Financial Service organizations can now receive on-the-go answers from [...]

Compliance TV In this episode host Mitch Avnet answers the question, what was your goal in establishing Compliance Risk Concepts 4 years ago? As a former Chief Compliance Officer (“CCO”), Mitch [...]

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the endless regulatory noise into coherent action [...]