Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]
The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that […]
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
Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken […]
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 and economic environment.