Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Industry News

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 […]

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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 […]

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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 […]

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RegEd Compliance Alliance Conference

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

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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 […]

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Mitch Avnet Featured In Compliance Week

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

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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 […]

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

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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 culture encouraging employees to raise their hands...

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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 Avnet Managing Partner, Compliance Risk Concepts

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