Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Author: Mitch Avnet

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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Beware of the Consulting “Rope-a-Dope”

It’s hard to believe that almost four (4) years ago, my partners and I developed […]

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CRC Enters Mobile Space with New Compliance Hotline App

NEW YORK, NY– Compliance Risk Concepts ("CRC") launches new mobile app for financial service organizations. The […]

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See Ya Lata – Bad Data!

CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is […]

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Three Years Later - The Song Remains the Same...

Building a Compliance Professional Services Organization   Are we Hipster Chic? This past weekend I […]

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Annual Year End Compliance Requirements for Broker Dealers - Tricks or Treats?

ENTER IF YOU DARE!   As Halloween is quickly creeping toward us – 2015 will […]

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FINRA Technology Upgrade Raises Data Standards for Firms

  Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and […]

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Exploring Opportunities for Compliance Lawyers and Consultants

What Help Do Compliance Clients Need? By Lori Tripoli Law Practice Management Expert Even as […]

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Mitch Avnet To Speak At Cleveland Compliance Officer Network Event

  C-CON Cleveland - Compliance Officer Network Location: McDonald Hopkins LLC, 600 Superior Ave, Cleveland, […]

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MassMutual Life Insurance Co. Makes Move For Improved Governance and Consistency Across Actuarial and Risk Functions

This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life […]

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