Mitch Avnet Moderates FINRA and SEC Exam Trends Panel at RCA2014
2014 Compliance Alliance Conference Hosted by RegEd
Mitch Avnet had the honor of moderating this year's RCA panel on recent FINRA and SEC exam trends. This is RegEd's 3rd year of hosting the spectacular event, that brings over 100 compliance professionals, industry experts, regulators and industry consultants together under one roof.
Where We Have Been, Where the Signals Point, and What to Do Before Year-End The […]
There is a comfortable fiction embedded in how most registered investment advisers and broker-dealers think about material nonpublic […]
The recent FinCEN advisory directing financial institutions to detect and report suspicious activity linked to […]
Where We Have Been, Where the Signals Point, and What to Do Before Year-End The […]
There is a comfortable fiction embedded in how most registered investment advisers and broker-dealers think about material nonpublic […]
The recent FinCEN advisory directing financial institutions to detect and report suspicious activity linked to […]
