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 [...]
M. Avnet Commentary | Ignites Financial Times Article
Mitch Avnet notes that firms lacking “consistent and cohesive training and messaging to mid-level managers” place their organizations at great risk. "An organization must create an awareness and [...]
Mitch Avnet To Moderate Bloomberg Vault Webinar August 21st
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 [...]
Bloomberg Vault Publishes Practical Guide For Compliance Officers
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 [...]
John Anderson Named VP of Business Development
NEW YORK, NY, July 7, 2014 – Compliance Risk-Concepts (“CRC”) announced today that John Anderson has been named as Vice President of Business Development. Former VP of Corporate [...]
Four Points Attributes Accelerated Growth to CRC Partnership
The strategic partnership between Four Points and Compliance Risk Concepts serves as a success model for Independent Broker-Dealers and Investment Advisers challenged by the current regulatory [...]
