Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]
Mitch Avnet had the privilege of moderating a session on “Compliance Trends in Advisor Communications” at Hearsay Summit this year. The session was well attended by compliance officers from enterprise wealth management and insurance companies whose respective organizations have taken a careful, thoughtful and pragmatic approach to enable advisors to communicate with clients and prospects over multiple channels.
Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 […]
President and Chief Executive Officer of the Investment Adviser Association, Paul Cellupica, has posted a […]