As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]
What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]
Founder and Managing Partner
Principal and Head of Execution Services
Principal and Chief Operating Officer
Principal and Head of Fund and Dealer Advisory
Home » Bloomberg Vault
SAVE THE DATE : October 22, 2014 Think Tank 2.0 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.
Join SmartBrief Risk and Compliance Editor Sean McMahon and panel Harald Collet, Stephen Marsh and Mitch Avnet, as they discuss trade reconstruction challenges in a webinar sponsored by Bloomberg Vault Tuesday September 16 1:00pm-2:00pm EDT
Not since the Great Depression has such a comprehensive financial regulatory reform measure been taken […]
SAVE THE DATE : June 5th, 2014 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.