Archives: Compliance / Risk Management
There is a comfortable fiction embedded in how most registered investment advisers and broker-dealers think about material nonpublic […]
Artificial intelligence has arrived in wealth management not as a future consideration but as a present operational reality. […]
Spring Cleaning There is something deceptively tidy about the word "recordkeeping." It conjures images of […]
How CRC Approaches Trade Monitoring and Surveillance for Financial Services Firms In an environment where regulatory […]
Cybersecurity is often framed as a technological challenge. In practice, for investment advisers, broker-dealers, and […]
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.
(The Economist | May 2019) Excerpt from the article Rise of the No Men The […]
Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 […]
With 2018 in rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to anticipate what this New Year may bring for Investment Advisers.
Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of […]
Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to […]
Coinbase, who recently acquired broker-dealer Keystone Capital Corp in June 2018, announced the addition of […]
Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement […]
Hiring the right talent, maintaining accountability for those you hire, and managing through the complex […]
Through our strategic agreement with Phocion Investment Services (Phocion), Compliance Risk Concepts (CRC) is proud […]
