Compliance Summit 2015
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 [...]
Goldman, Twitter & Square Entwinement
Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week Goldman publicized that it would announce its earnings via Twitter (@Twitter). The talk since the [...]
Spotlight On Talent: Kevin Wheeler On NY’s Virtual Currency Regulation
The State of New York recently passed legislation requiring those transacting in virtual currency to become licensed. The new rules mirror much of what is already in place for many [...]
MassMutual Life Insurance Co. Makes Move For Improved Governance and Consistency Across Actuarial and Risk Functions
This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life Insurance Co. has assigned executive vice president and chief enterprise risk [...]
Financial Services Firms Get New View For Compliance Programs
In a non-exclusive co-branding agreement, Compliance Risk Concepts and FinWebTech have teamed up to provide broker-dealers, registered investment advisors, banks and other financial institutions, [...]
RegEd Compliance Alliance Conference
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 [...]
BlackRock Charged By SEC With Failing to Disclose Conflict of Interest
Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a conflict of interest [...]
Mitch Avnet Featured In Compliance Week
Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on [...]
Faulty Broker Dealer Gatekeeping Leads To SEC Enforcement Action
The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that apparently failed in their “gatekeeper roles” and improperly engaged in [...]
Tackling the Challenges of Trade Reconstruction
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 [...]
