Mitch Avnet, CEO and Managing Partner here at Compliance Risk Concepts, 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.

Mitch’s goal for the session was to create a collaborative environment that offered the following:

• A setting conducive to open sharing of thought leadership, idea generation and best practices across financial services firms specific to advisor communications capabilities.
• Cross-fertilization of ideas and problem-solving for common and uncommon problems associated with electronic communications across multiple mediums.
• Professional development that translates into actionable tasks that can be shared and implemented across each participant’s respective organization.
• Education for participants on the “hot-issues” / roadblocks that may impede organizational readiness to comply with electronic communications requirements specific to advisor communications.

There is no Competitive Edge in Compliance

Throughout the session, one common theme continually emerged – “There is no competitive edge in compliance.” As compliance officers, we all benefit from sharing ideas and thought leadership with one another. As a result, we are able to create cohesive and consistent approaches to common problems shared across our respective organizations. Creating best practices together, for our industry as a whole, instills confidence on the part of our regulators. As we all know, regulators like standards; when firms approach compliance for the technology solutions we use to fulfill our compliance responsibilities in a common manner, we’re all better off.

The Use of Social Media – Is it Finally Socially Acceptable?

I was truly impressed with the proactive steps many of the participant organizations are taking with respect to enabling social media for advisors. This included a close collaboration with marketing departments and the creation of workflows that enabled efficient processes specific to creation and/or curation of marketing materials approved for advisor dissemination over social media. Many organizations were beyond “pilot” social media rollouts and had either fully implemented an enterprise approach and strategy for social media, or were well on their way.

From a pure compliance perspective, participants indicated their workloads had only increased incrementally due to the use of technology (in this case, Hearsay) to aid in the creation of the appropriate workflows and approval processes. As we all know, this can be a huge gating issue when organizations are contemplating the net effect of enabling new and different approaches to advisor communications. This is extremely encouraging since it’s coming straight from the compliance officers/people in the trenches actually using this technology on a day-to-day basis, not the vendor trying to sell their solution.

For more takeaways, read the full Hearsay Social article Hearsay Social article Compliance Trends in Advisor Communications – Summit 2019 Takeaways

The post 2019 Summit Takeaways: Compliance Trends in Advisor Communications appeared first on Compliance Risk Concepts.

You are Cordially Invited to FINRA Happy Hour Event
At CRC, we like to keep it breezy,
so please come join us at this great
SpeakEasy!

May 16th from 5:00-7:00 p.m.
Denson in D.C.

600 F St NW, Washington, DC 20004
www.densondc.com

WILL YOU BE JOINING US?

Use the form below to RSVP to our Anniversary Celebration event.

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If you are new to the CRC list please check your spam folder to verify your registration.

The post Join CRC For Our FINRA Happy Hour Event appeared first on Compliance Risk Concepts.

CRC is delighted to sponsor the upcoming 2019 FINRA Annual Conference on May 15-17 in Washington, D.C. Please stop by our booth to say hello and check out the newest addition to the Compliance Crusader family!

FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

Stay up to date and share your comments using #FinraAC

The post 2019 FINRA Annual Conference appeared first on Compliance Risk Concepts.

A proactive approach is best when it comes to advisor-client texting. Join us to learn why!

Join our webinar on November 7th at 1pm EDT when Mitch Avnet of Compliance Risk Concepts ("CRC" ) goes online with Phil Burch of Hearsay Systems to discuss how technology can help compliance and supervision teams proactively mitigate risk for their firms and allow advisors to provide best-in-class service to their clients.

By attending this webinar, you can expect to learn:

• Why advisors typically text for business

 

• How being proactive is the best approach to new regulations

 

• The correct design of an effective regulatory approach to business text messaging

The post [Webinar] Designing a Proactive Regulatory Approach To Advisor Texting appeared first on Compliance Risk Concepts.

Come celebrate Compliance Risk Concepts'6 year anniversary at Gallery Henoch with an evening of food, drinks and art.
Featuring New City Paintings, Oil Paintings of NYC & Brooklyn by Award-Winning Artist Kim Cogan.

When: November 14th, 5:30pm - 8:30pm
Where: Gallery Henoch, 555 West 25th Street, New York, NY

WILL YOU BE JOINING US?

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The post Join CRC as We Give Thanks to our Clients & Friends appeared first on Compliance Risk Concepts.

To help navigate the wide array of compliance and risk management issues impacting the financial services sector today, broker-dealer compliance officers came together for a mastermind exchange of ideas and knowledge surrounding monitoring and surveillance challenges they face within the securities industry. Hosted by Abel Noser and Compliance Risk Concepts, The Kitano New York offered the perfect setting for this dynamic, informative and collaborative event. The following slideshow highlights the event.

Among the speakers, Mitch Avnet, Founder & Managing Partner, Compliance Risk Concepts opened the discussion with "There is No Competitive Advantage in Compliance". Ted Morgan, CEO of Abel Noser Holdings, highlighted the landscape of monitoring and surveillance solutions currently available to broker-dealers.

• Participants in the event spent the afternoon in deep thought and discussion. Real world scenarios were highlighted throughout the session.
• Regulatory focus on the adequacy of firms’ surveillance programs were contemplated during the event.
• Best practices and pain-points were shared by all.
• Unique perspectives were provided by all with an eye toward increasing consistency in processes within broker-dealer firms.
• Process reconciliation versus the need for new technology solutions was also a focal point of our discussion.
• The distinction between front-office versus compliance responsibilities was also debated.

Thank you all for participating in this highly productive day!

INTERESTED IN FUTURE EVENTS?

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The post Monitoring and Surveillance Symposium for Broker-Dealers Recap appeared first on Compliance Risk Concepts.

Join Abel Noser and Compliance Risk Concepts September 5th for the Monitoring and Surveillance Symposium for Broker-Dealers. This afternoon symposium is intended to be a fully interactive session that brings together Senior Level Compliance and Risk Management Executives to engage in the exchange and sharing of ideas, knowledge and various concepts surrounding monitoring and surveillance activities.

Mitch Avnet, Founder and Managing Partner of Compliance Risk Concepts (“CRC”) will act as the facilitator for the event. At the conclusion, participants should be able to:

• Understand and “level-set” organizational readiness at their respective institutions
• Understand the impact of inadequate monitoring and surveillance routines and systems have on Compliance, Technology, Risk Management, and Audit Resources
• Size budgetary impact that monitoring and surveillance requirements will have on organizations at implementation and ongoing support / maintenance
• Understand “common” and “unique” challenges that exist across peer group organizations
• Understand the pros / cons of: “home-grown” solutions, outsourced solutions or a hybrid approach toward monitoring and surveillance activities

DATE:

Date: Wednesday, September 5th, 2018
Time: Time: 3:00 pm - 6:00 pm ET

LOCATION:

Location: The Kitano New York, 66 Park Avenue, East 38th St, New York, NY 10016

AGENDA

3:00-3:15 PARTICIPANTS ARRIVE / WELCOME COMMENTS
-----------------------------------------------------
3:15-4:00 REGULATORY FOCUS ON COMPLIANCE OVERSIGHT OF TRADING ACTIVITIES
-----------------------------------------------------
4:15-4:45 COST OF COMPLIANCE
----------------------------------------------------
4:45-5:00 RECAP OF MEETING AND ACTION ITEMS
---------------------------------------------------
5:00-6:00 NETWORKING EVENT

The post Monitoring and Surveillance Symposium For Broker-Dealers appeared first on Compliance Risk Concepts.

Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June 13th for the Sterling Financial Services Summit: Human Capital and Compliance - Bridging the Gap.

This afternoon thought leadership session will include Financial Services Executive from Human Resources, Talent Acquisition and Compliance.

Date: Wednesday, June 13, 2018
Time: Time: 12:30 pm - 6:00 pm ET
Location: Grand Hyatt New York, Regency Room

Mitch Avnet, Compliance Risk Concepts founder and managing partner, joins "Know your employee – ongoing rep and disclosure monitoring" Fireside Chat with Former FINRA Chief of Enforcement, J. Bradley Bennett, now a Partner in the White Collar practice at Baker Botts.

Please feel free to share with colleagues who may benefit from this event, and don’t hesitate to reach out with any questions. We hope you will be able to join us!

The post Sterling FinServ Summit: Mitch Avnet Joins Fireside Chat with Former FINRA Chief of Enforcement, J. Bradley Bennett appeared first on Compliance Risk Concepts.

As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory procedures for hiring or retaining statutorily disqualified and recidivist brokers. FINRA will examine firms’ due diligence on these individuals, which will include determining whether, as part of the verification process, a firm or third-party service provider conducts a national search of reasonably available public records to verify the accuracy and completeness of the information contained in an applicant’s Form U4. FINRA will also continue to monitor for timely submission of disclosures required on Forms U4 and U5.

Efficient onboarding of new registered representatives is critical for broker-dealers. Yet many firms continue to rely on paper-based manual processes and redundant data entry, requiring constant intervention in the process and negatively impacting rep satisfaction. Join RegED and Compliance Risk Concepts, for an hour-long webinar offering insights into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.

Date: Thursday, November 2, 2017
Time: 3:00 - 4:00 PM EDT

Presented by:

Ann Robinson, Senior VP, Business Development RegED, Inc.
Mitch Avnet, Managing Partner Compliance Risk Concepts

The post Documenting Effective Onboarding Due Diligence [webinar] appeared first on Compliance Risk Concepts.

Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services

Join CRC and Phocion for a more in-depth discussion on how their new partnership will benefit their clients in both the US and Canada.

Date: September 12, 2017
Time: 12:00 pm - 1:00 pm EST.

REGISTER HERE

After registering, you will receive a confirmation email containing information about joining the webinar.

Compliance Risk Concepts and Phocion Investment Services Formalize Strategic Alliance

NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts ("CRC"), a top tier compliance consulting services firm, and Phocion Investment Services ("Phocion"), a leading service provider in performance, due diligence and compliance, are pleased to announce that they have formalized a strategic partnership.

The partnership benefits CRC's clients by expanding their offering to include a broad suite of performance measurement services. The agreement also gives CRC its initial foray into the Canadian marketplace positioning it to better serve its clients' cross-border needs. For Phocion, the partnership expands its United States prospect list;, particularly for the fast-growing performance measurement offerings... Read more

The post Webinar: How The CRC / Phocion Partnership Benefits YOU appeared first on Compliance Risk Concepts.

If your firm is struggling with the management and analysis of conflicts of interest, learn from a leading industry expert about how to begin to tackle the challenge.

Join Protegent, Compliance Risk Concepts, and your peers for an hour-long webinar, sharing experiences and lessons learned in helping firms transform from manual-based conflicts reviews, to automated and efficient technology-driven processes.

Date: August 2, 2017
Time: 2:00 pm EST.

REGISTER HERE

During the webinar, you’ll learn:

• How conflicts arise
• How firms address conflicts today
• The regulatory landscape – recent real-world lessons
• Best practices for meeting the challenge
  Register today and learn how to address the challenge of managing conflicts of interest.

The post Best Practices for Managing Conflicts of Interest [Webinar] appeared first on Compliance Risk Concepts.

Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance Program in which Mitch Avnet, Founder and Managing Partner at Compliance Risk Concepts (“CRC”) and Kristi Kuhn, Senior Solutions Consultant at ProcessUnity discussed the necessary components of establishing and maintaining the necessary infrastructure to support and scale a best-in-class broker-dealer system of supervision.

Attendees learned about PaCE – Policy and Controls Environment, a brand new offering from Compliance Risk Concepts (“CRC”) that has been specifically created by a team of former industry leading CCOs to address the needs of firms that have been historically underserved and priced out of much needed technology solutions. Participants in this webinar learned about the following PaCE features:

• Policies and Procedures Management
• Forms and Certifications Management
• Incident Management and Escalation Workflows
• Integrated Compliance Calendar
• Professional Services and Ongoing Support

Request Webinar Recording or Slides

To request a copy of the Establishing A Regulatory-Proof Broker/Dealer Compliance Program webinar recording or download the slides, please enter your information below:

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Presenters:

Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts
Mitch Avnet is the founder and Managing Partner of CRC LLC. Mitch is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements.

Kristi Kuhn, Senior Solutions Consultant, ProcessUnity
Kristi Kuhn is a Senior Solutions Consultant at ProcessUnity. Kristi has more than 12 years experience delivering governance, risk and compliance solutions to organizations of all sizes.

Moderated by:

Lilian Colpas, Senior Compliance Officer, Compliance Risk Concepts
Lilian Colpas is an accomplished compliance professional with over 12 years of global compliance experience. Lilian provides consulting services to SEC and state-registered investment advisers and conducts AML independent reviews for broker/dealers. Previously, Lilian held roles as a compliance officer for Davidson Kempner, Harding Loevner and AIG Global Investments (now PineBridge).

The post Webinar: Establishing A Regulatory-Proof Broker/Dealer Compliance Program appeared first on Compliance Risk Concepts.

Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance Issues for Investment Advisers.

Investment advisers face constant challenges to stay current and comply with new and changing regulations in an evolving market place. This webinar will help advisers to better understand these regulations and how they may reduce or mitigate certain risks with insurance.

Date: May 4, 2017
Time: 2:00 pm - 3:15 pm EST.

REGISTER HERE

Registration for the live webinar closes on Wednesday, May 3, at noon ET. IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. (Registrations made on or before May 3 at noon ET are automatically registered for both the live webinar and the recording.)

Presenters:

• Mitch Avnet, founder and Managing Partner, Compliance Risk Concepts, LLC
• Lilian A. Morvay, JD, Underwriting & Risk Management Consultant––Professional Liability
• Amir Tadjedin, Partner, Markun Zusman Freniere and Compton, LLP
• Paul D. Glenn, Special Counsel, Investment Adviser Association, Moderator

The post Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers appeared first on Compliance Risk Concepts.

Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE Information Governance Financial Regulatory Compliance Roundtable.

Date: Wednesday, January 25, 2017
Time: 12:00 pm - 3:30 pm ET (full lunch served with happy hour after)
Location: The Lambs Club, 132 W. 44th St., NY NY 10036

This informal meeting will look at how HPE solutions are transforming enterprise content management practices to help our customers achieve their information security, privacy and governance objectives. In this age of mobility, cloud, digital transformation and global transparency, balancing productivity with information security and compliance is increasingly tricky – but it doesn’t have to be. Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges. Many of these challenges relate to the data that is reported to ensure organizations continue to meet the ever expanding list of ongoing regulatory and compliance requirements. Our discussion will focus on common challenges and issues impacting Compliance Departments, such as:

• Regulatory Scrutiny, Fines and Sanctions
• Handling Massive Volumes of Data
• Managing Across Bifurcated and Disparate Systems and Platforms
• Operating in Manual Environments
• Moving Forward: Understanding Your Internal Processes and Effecting Change

You will learn how HPE customers meet their Information Governance legal and regulatory responsibilities leveraging automated analytics and classification.

Guest Speaker: Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts
HPE Speaker: Rich Lauwers, Information Governance and Management Subject Matter Expert, Hewlett Packard Enterprise

The post Information Governance Financial Regulatory Compliance Roundtable appeared first on Compliance Risk Concepts.

Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers and Investment Advisers roundtable discussion and hear first-hand, from two former Senior Executives at FINRA, Bill Hayden and Jeff Holik.

Date: Tuesday, June 14, 2016 Time: Time: 12:00 pm - 5:00 pm ET

Lunch 12:00pm - 12:45pm Roundtable discussion 1:00pm - 3:45pm Cocktail reception 4:00pm - 5:00pm

Location: The Bryant Park Hotel, 40 W. 40th St. New York, NY

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges. Many of these challenges relate to the data that is reported to ensure organizations continue to meet the ever expanding list of ongoing regulatory and compliance requirements. Our discussion will focus on common challenges and issues impacting Compliance Departments, such as:

• Regulatory Scrutiny, Fines and Sanctions
• Handling Massive Volumes of Data
• Managing Across Bifurcated and Disparate Systems and Platforms
• Operating in Manual Environments
• Moving Forward: Understanding Your Internal Processes and Effecting Change

Register below to secure your place!

Email *

First Name *

Last Name *

Company Name *

Phone *

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Bill Hayden has industry experience as both a regulator and a senior compliance officer at large financial institutions. He is currently the Chief Compliance Officer for KeyBanc Capital Markets (KBCM) in Ohio. Before joining KBCM in 2013, Bill was the Director of FINRA’s Office of Emerging Regulatory Issues, where he helped the SRO identify trends in the financial industry and assess the impact on regulatory policy. Prior to his time at FINRA, Bill held a number of senior compliance positions at Wachovia Capital Markets, including Chief Compliance Officer for Corporate Investment Banking. Bill is a former branch chief/staff attorney in the SEC’s Office of Compliance Inspections and Examinations (OCIE). Prior to his work in the industry, Bill was a criminal prosecutor in Maryland and served as an intelligence officer in the U.S. Navy. He holds a law degree from the University of Baltimore School of Law and an undergraduate degree from Miami University in Oxford, Ohio. Jeffrey S. Holik is a seasoned and accomplished lawyer who knows how to solve problems from both a legal and a practical business perspective. With more than 30 years of experience as a senior financial services regulator, industry leader and partner in global law firms, he has a deep understanding of the financial services industry. After many years as a leader of regulatory programs at FINRA and as chief legal officer for the retail investment businesses of PNC Bank, Jeff brings a proven track record of success partnering with compliance officers and business leaders to achieve corporate goals, resolve customer and business disputes, manage legal, regulatory and reputational risk, maintain strong relationships with regulators, and keep regulatory and litigation matters off the front page of the newspapers. Read Jeffrey Holik's full bio >> Bill Blythe is the Global Business Development Director for Gresham Computing. Bill has more than 18 years of experience in the financial technology sector. Previously at SmartStream Technologies where he held the role of Managing Director for North America and the UK, based out of New York, Bill was in charge of business strategy and sales management. Under his supervision the North American business grew by more than 400% in two years. Prior to working for SmartStream Technologies, Bill held management positions at Singularity, Mercator Software (formally Braid) and Misys. Mitch Avnet is the founder and Managing Partner of CRC LLC. Avnet is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements. Prior to launching CRC, Avnet was a member of Corporate Leadership Group (CLG) at Lincoln Financial Group (LFG) where he was Senior Vice President and Chief Ethics and Compliance Officer, having direct oversight of the company’s anti-money laundering, privacy, ethics and compliance risk management programs.

The post Data Integrity and Governance Roundtable appeared first on Compliance Risk Concepts.

Compliance Breakfast Forum: Conflicts of Interest

Join Compliance Science (CSI) and Compliance Risk Concepts (CRC) as we present a Conflicts of Interest roundtable discussion.

Date: Thursday, May 19, 2016
Time: Time: 8:30 am - 11:00 am ET
Location: Pillsbury Winthrop Shaw Pittman LLP, New York, NY

The success of any end-to-end Conflicts Management Program is predicated on the knowledge and expertise of the team responsible for creating and implementing the required processes and infrastructure to support a sustainable and scalable program. Our discussion will focus on recommendations specific to monitoring and mitigating potential conflicts as well as enhancements to existing compliance policies, procedures, and processes.

A preview of the topics we will be covering include a comprehensive discussion covering the following discrete types of conflicts prevalent in all financial services organizations:
• Conflicts applicable to all employees
• Firm vs. Client Conflicts
• Client vs. Client Conflicts
• Employee vs. Client Conflicts
• Employee vs. Firm Conflicts
• Vendor vs. Client Conflicts

The post Compliance Breakfast Forum: Conflicts of Interest appeared first on Compliance Risk Concepts.

Thomson Reuters Annual Financial and Risk Summit in New York

Date: May 4, 2016 Time: Time: 8:00 am - 5:30 pm ET Location: Marriott Marquis, New York Click Here To Register

Mitch Avnet is thrilled to be participating in the upcoming Thomson Reuters Annual Financial and Risk Summit in New York City in the following sessions:

Preparing your Employees to be the Compliance Front Line

1:00 pm Breakout Session with Mitch Avnet Maintaining a culture of compliance requires far more than strong compliance programs and processes. As the front line in compliance, the business has a leading role to play to ensure that compliance is in the DNA of the organization. During this session we will discuss how to ensure that your employees, at all levels, are engaged around ethical and compliant behavior via robust training, code of conduct, managing conflicts, cases, escalations and more.

• Mitch Avnet, Founder and Managing Partner, Compliance
  Risk Concepts
• Marcy Cohen, General Counsel,ING Financial Holdings Corp
• Lamond Kearse, Chief Compliance Officer, MTA

This is a complimentary event for Thomson Reuters customers, associates and industry professionals. Attendees are eligible to earn up to six NASBA certified CPE credits. For more information or to register visit: http://info.risk.thomsonreuters.com/NYCFinancialRiskSummitHomepage

The post Thomson Reuters Financial and Risk Summit appeared first on Compliance Risk Concepts.

Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The webinar conversation will focus on a range of considerations that represent the end-to-end lifecycle of an exam.

This 60 minute webinar will be moderated by Charles Steerman, VP Product Solutions, Compliance Science with guest panelists Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts (CRC).

Date: Feb. 25, 2016
Time: 12:30 am - 1:30 pm EST.

Moderated By:

Charles Steerman, VP Product Solutions, Compliance Science

Guest Panelists: 

Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts

The post Webinar: Navigating Your Next SEC Exam appeared first on Compliance Risk Concepts.

FSO Knowledge Xchange is hosting its exclusive Governance, Risk Management, and Compliance Breakfast Briefing on February 25th, 2016 at the University Club in New York City. During this half day forum, industry experts from leading financial firms, will share innovative ideas, emerging trends, and best practices for adhering to enterprise-wide GRC requirements, and making them an integral part of the strategic planning processes.

Date: Feb. 25, 2016
Time: 8:00 am - 11:30 am
Where: The University Club, NYC

8:00 am - 8:45 am Registration and Networking Breakfast
8:45 am - 9:45 am Welcome Remarks and Keynote
9:45 am - 10:30 am Building Effective Governance, Control and Process Framework

The post GRC Briefing For The Financial Services Industry appeared first on Compliance Risk Concepts.

Date: Nov 16-17, 2015 
Sponsored by: Compliance Science

This year’s conference is shaping up to be another great one. The list of speakers include Mitch Avnet and Compliance Science partners from leading security, consulting, and law firms as well as other seasoned compliance professionals who will discuss best practices for compliance automation and SEC exam preparation.

The post Compliance Summit 2015 appeared first on Compliance Risk Concepts.

RegEd 2015 Compliance Alliance Client Conference

Date: May 4-6, 2015
Location: Raleigh Marriott City Center | Raleigh, NC

Join financial services CCOs, Compliance Professionals, senior representatives, regulators and former regulators and gain a new understanding of expanding and new compliance obligations. Learn how other firms are working through their challenges and learn best practices from regulators, leading consultants, RegEd and industry peers.

How Firms have Implemented New Supervision Rules
Mitch Avnet On Panel Discussion
Date: Tuesday May 5, 2015
Time: 3:15-3:45 pm

Regulatory Change Management Best Practices
Mitch Avnet On Panel Discussion
Date: Wednesday May 6, 2015
Time: 10:30-11:25 am

Click to view preliminary 2015 RegEd Compliance Alliance agenda

The post RegEd Compliance Alliance Conference appeared first on Compliance Risk Concepts.

TRADE RECONSTRUCTION IN 72 HOURS

Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.

Date: October 22, 2014

Time: 12pm-7pm

Location: Bloomberg | 731 Lexington Ave, New York, NY 10022

• • Lunch and Introductions - 12-1pm
  • Think Tank Session - 1-5pm
  • Cocktail Mixer / Networking Session (in Bloomberg Offices) - 5pm-7pm

Follow @ThinkTankNYC to stay in the loop on event details.

Fill in the form below to reserve your spot:

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The post The Time is Now!: Think Tank 2.0 appeared first on Compliance Risk Concepts.

Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken as the Dodd-Frank Wall Street Reform and Consumer Protection Act, or “Dodd-Frank Act”. Under these new rules, one of the most significant challenges for Compliance Officers is the work set surrounding the CFTC’s trade reconstruction requirement. Trade reconstruction imposes a new standard on swap entities, requiring impacted firms to produce a time-sequenced complete reconstruction of a swap trade within 72 hours of the request by the CFTC. In response, CRC had the honor of collaborating with the talented team at Bloomberg Vault in hosting a DFA Think Tank at Bloomberg Headquarters in NYC. Senior compliance executives and financial services firms representing nearly 10 percent of institutional investment firms impacted by these regulatory requirements met to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation. CRC is extremely appreciative of the opportunity to be part of the thought leadership that contributed to resulting industry white paper titled "Practical Guide For Compliance Officers | Swap Trade Reconstruction in 4 Phases". This white paper offers Compliance Officers practical guidance on meeting the trade reconstruction challenge based on emerging industry best practices. The paper initially analyzes the challenges, and then offers a phased project plan to help firms structure the process in a straightforward manner.

Download a copy of the Bloomberg Vault DFA Swap Trade Reconstruction white paper by filling out the form below.

NOTE: We are in the process of planning our next DFA Think Tank session, if you are interested in receiving more information regarding the upcoming session scheduled for October 22nd, 2014 please be sure to select YES when filling out the form.

The post Bloomberg Vault Publishes Practical Guide For Compliance Officers appeared first on Compliance Risk Concepts.

On 10/30/2013, CRC conducted its first industry Compliance Roundtable. Hosted by Barry Barbash, Partner at Willkie, Farr and Gallagher LLP, there were over 30 people in attendance.

Panelists and guests included Chief Compliance Officers and Senior Compliance Officers from TD Securities, PNC Capital Markets, Santander, Wells Fargo, Deutsche Bank and Key Capital Markets.

In addition to the impressive Compliance Officer lineup - leadership from technology companies - TradeDynamix and Nasdaq OMX were on-site to contribute to the discussion.

Roundtable Topics / Discussions included:

1. Current Regulatory Enforcement Actions and Themes
2. Regulatory Change Management, Information Flows and GRC integration
3. The Role of Artificial Intelligence in Creating Smarter and Practical Compliance Surveillance Programs
4. Trade Manipulation and Real Time Market Transparency
5. SEC Rule 613: Consolidated Audit Trail Implications, Costs and Impact on Member Firms

Based on the overall engagement of the attendees and the vibrant interaction, CRC intends to conduct 2-3 additional Compliance Roundtables over the next 6 to 12 months.

Want to stay in the know about upcoming Compliance Roundtables?

Please sign up below to add your name to the Compliance Roundtable list for future invitations:

The post Compliance Risk Concepts (CRC) Holds First Compliance Roundtable in NYC appeared first on Compliance Risk Concepts.

You are invited to attend a special invitation-only event… Come listen to a roundtable discussion of senior compliance risk management executives from leading financial services institutions on October 30, 2013. Expected attendees include other senior compliance risk management executives. Topics for discussion to be circulated shortly and could include topics such as:

• How is it possible to proactively identify new risk patterns in ever-increasing volumes of data?
• Is it possible to automate what is largely a very manual investigative process without having to hire additional expensive headcount to keep up?
• How can you improve the efficiency of the risk and compliance process without having to constantly invest in new technologies that only bring a small return

Discussion to be followed by a networking session with cocktails and appetizers. Date: October 30 Agenda: 4:00pm – 4:15pm Attendees arrive, get seated 4:15pm – 4:30pm Introductions 4:30pm – 5:30pm Roundtable discussion and Q&A 5:30pm – 7:00pm Networking and cocktails Location: Willkie Farr & Gallagher LLP 787 Seventh Avenue New York, N.Y. 10019-6099, U.S.A

The post You Are Invited To Our Roundtable | Oct. 30th appeared first on Compliance Risk Concepts.