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.
The Conflict Conundrum Conflicts of interest are not new to financial services. Investment advisers, broker-dealers, […]
A plain-language guide to significant federal crypto regulatory action. WHO: Who issued this, and who […]
Annual compliance training remains one of the most visible and frequently evaluated components of a […]
The Conflict Conundrum Conflicts of interest are not new to financial services. Investment advisers, broker-dealers, […]
A plain-language guide to significant federal crypto regulatory action. WHO: Who issued this, and who […]
Annual compliance training remains one of the most visible and frequently evaluated components of a […]
