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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 [...]

This is the fifth, and final in our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares his thoughts on the final phase of [...]

This is the fourth of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares the process of building a business case within your [...]

This is the third of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares the process of building a business case within your [...]

This is the second of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares his solution to one of the most prevalent [...]

This is the first of our monthly blogs for Hearsay Systems.  Over the next few months, in conjunction with Hearsay, our goal is to arm the financial services industry with information and [...]

NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts (“CRC”), a top tier compliance consulting services firm, and Phocion Investment Services (“Phocion”), a [...]

CRC furnishes sensible regulatory risk management services and support that achieve a comfortable balance between a client’s commercial interests and the critical need to withstand regulatory [...]

With the end of 2016 just days away, 2017 will be here before you know it! As former Chief Compliance Officers, CRC completely understands year-end pressures for FINRA registered broker-dealers [...]

Several times over the past decade FINRA has indicated they may be considering making it a requirement for broker-dealers to maintain errors and omission insurance (E&O) to cover the payment [...]