The State of New York recently passed legislation requiring those transacting in virtual currency to […]

This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life […]

In a non-exclusive co-branding agreement, Compliance Risk Concepts and FinWebTech have teamed up to provide […]

  RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City […]

Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors […]

Amid a tough climate of regulatory enforcement and an explosion of new rules after the […]

The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that […]

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 Vault Tuesday September 16 1:00pm-2:00pm EDT

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 culture encouraging employees to raise their hands...

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 Avnet Managing Partner, Compliance Risk Concepts