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

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Financial Services Firms Get New View For Compliance Programs

In a non-exclusive co-branding agreement, Compliance Risk Concepts and FinWebTech have teamed up to provide […]

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Electronic Communications Surveillance Platforms: Checking The Box or Providing Value?

As a Former Chief Compliance Officer, I am frequently asked by my clients to help […]

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How Would You Respond To A Cyber Incident?

The world has changed in cyber space. It used to be a company could create […]

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Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]

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Cybersecurity: High Profile Exam Priority for FINRA and the SEC

As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.

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Just in Time For The Holidays – The Gift of Cybersecurity Awareness

In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations. 

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Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For […]

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Regulatory Mapping Support Model

Over the past several years, the massive and sweeping changes in the regulatory environment have […]

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The Time is Now!: Think Tank 2.0

SAVE THE DATE : October 22, 2014 Think Tank 2.0 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.

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Tackling the Challenges of Trade Reconstruction

Join SmartBrief Risk and Compliance Editor Sean McMahon and panel Harald Collet, Stephen Marsh and Mitch Avnet, as they discuss trade reconstruction challenges in a webinar sponsored by Bloomberg Vault Tuesday September 16 1:00pm-2:00pm EDT

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