On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser […]
The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]
Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault and Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts
Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken […]
The strategic partnership between Four Points and Compliance Risk Concepts serves as a success model for Independent Broker-Dealers and Investment Advisers challenged by the current regulatory and economic environment.
Mitch Avnet confirmed as speaker for Thomson Reuter's Compliance and Risk Summit at the Marriott Marquis Hotel in New York City.