What: The SEC announced that it settled charges against two investment advisers for making false […]
CRC’s founder and managing partner, Mitch Avnet, has talked to hundreds of executives in compliance and risk management, from COOs of the largest financial services firms to managing partners of the smallest. The story he hears is consistent: when it comes to compliance technology, we’re still in the dark ages.
In this ebook, he shares a detailed plan to overcome this challenge. Topics explored include:·