Background & Summary The Securities and Exchange Commission (“SEC”) entered an order (“Order”) against a broker-dealer for […]
The Silicon Review "Compliance demands in the financial services sector are surging and the operational […]
Compliance Risk Concepts LLC (“CRC”) today announced that Steve Brown is joining the compliance professional […]
Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory […]
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.
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(The Economist | May 2019) Excerpt from the article Rise of the No Men The […]
