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

  RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City […]

Amid a tough climate of regulatory enforcement and an explosion of new rules after the […]

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

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

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

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.

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

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 […]