As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
To help navigate the wide array of compliance and risk management issues impacting the financial services sector today, broker-dealer compliance officers came together for a mastermind exchange of ideas and knowledge surrounding monitoring and surveillance challenges they face within the securities industry. Hosted by Abel Noser and Compliance Risk Concepts, The Kitano New York offered the perfect setting for this dynamic, informative and collaborative event. The following slideshow highlights the event.
Among the speakers, Mitch Avnet, Founder & Managing Partner, Compliance Risk Concepts opened the discussion with "There is No Competitive Advantage in Compliance". Ted Morgan, CEO of Abel Noser Holdings, highlighted the landscape of monitoring and surveillance solutions currently available to broker-dealers.
Thank you all for participating in this highly productive day!
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