Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Author: Mitch Avnet

Hearsay Social Summit Top Takeaways
2019 Summit Takeaways: Compliance Trends in Advisor Communications

Mitch Avnet had the privilege of moderating a session on “Compliance Trends in Advisor Communications” at Hearsay Summit this year. The session was well attended by compliance officers from enterprise wealth management and insurance companies whose respective organizations have taken a careful, thoughtful and pragmatic approach to enable advisors to communicate with clients and prospects over multiple channels.

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Implementing Your Compliance Technology Roadmap

This is the fifth, and final in our series on Building a Business Case for Compliance […]

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Modern Compliance Part 4
Compliance Technology: The Quest for the Ideal Solution

This is the fourth of our series on Building a Business Case for Compliance Technology for Hearsay Systems. […]

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SaaS solutions offer a number of advantages from an implementation standpoint.
Choosing Compliance Technology: Options and Considerations

This is the third of our series on Building a Business Case for Compliance Technology for Hearsay Systems. […]

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tech gaps
The Case for Compliance Technology: Where’s the Problem?

This is the second of our series on Building a Business Case for Compliance Technology […]

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compliance in tech
The Business Case for Technology in Compliance

This is the first of our monthly blogs for Hearsay Systems.  Over the next few […]

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Annual Investment Adviser Regulatory Review and Outlook

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

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Compliance Risk Concepts and Phocion Investment Services Formalize Strategic Alliance

NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts ("CRC"), a top tier compliance […]

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Broker Dealers, Don’t Be A Turkey. Complete Your Year-End Requirements!

With the end of 2016 just days away, 2017 will be here before you know […]

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E&O: Are You In The Know?

Several times over the past decade FINRA has indicated they may be considering making it […]

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