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.
You are Cordially Invited to FINRA Happy Hour EventAt CRC, we like to keep it […]
CRC is delighted to sponsor the upcoming 2019 FINRA Annual Conference on May 15-17 in […]
A proactive approach is best when it comes to advisor-client texting. Join us to learn […]
Come celebrate Compliance Risk Concepts'6 year anniversary at Gallery Henoch with an evening of food, […]
To help navigate the wide array of compliance and risk management issues impacting the financial […]
Join Abel Noser and Compliance Risk Concepts September 5th for the Monitoring and Surveillance Symposium […]
Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June […]
As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory […]
Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services Join CRC […]
