Author: CRC

Assessing Outsourced CCO Risk Before the SEC Completes the Assessment for You

The OCIE staff of the SEC released a Risk Alert relating to the Outsourcing of Chief Compliance Officers and Compliance […]

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Compliance Summit 2015

  Date: Nov 16-17, 2015  Sponsored by: Compliance Science This year’s conference is shaping up to be another great one. The list […]

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Goldman, Twitter & Square Entwinement

Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week Goldman publicized that it would […]

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Are Broker Dealers Prepared To Respond To Customer Withdrawal of Funds ?

9 of 24 BDs Reviewed NOT PREPARED to Respond to Customer Withdrawal of Funds Recently FINRA published its findings regarding […]

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Former SEC Chairperson, Mary Schapiro Shares Insights

Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro. […]

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RegEd Compliance Alliance Conference

  RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City Center | Raleigh, NC Join […]

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BlackRock Charged By SEC With Failing to Disclose Conflict of Interest

Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary […]

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Mitch Avnet Featured In Compliance Week

Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially […]

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Faulty Broker Dealer Gatekeeping Leads To SEC Enforcement Action

The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that apparently failed in their “gatekeeper […]

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Mitch Avnet To Moderate Bloomberg Vault Webinar August 21st

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

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