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.

This is the fifth, and final in our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, […]

This is the fourth of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet […]

This is the third of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet […]

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

This is the first of our monthly blogs for Hearsay Systems.  Over the next few months, in conjunction with Hearsay, […]

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

CRC furnishes sensible regulatory risk management services and support that achieve a comfortable balance between a client’s commercial interests and […]

With the end of 2016 just days away, 2017 will be here before you know it! As former Chief Compliance […]

Several times over the past decade FINRA has indicated they may be considering making it a requirement for broker-dealers to […]