Artificial intelligence has entered the compliance landscape with unusual speed. AI-driven tools now appear across […]

Cybersecurity is often framed as a technological challenge. In practice, for investment advisers, broker-dealers, and […]

Strengthening Compliance Through Independent, Risk-Based Testing Regulatory expectations for investment advisers and broker-dealers continue to […]

Regulatory examinations continue to identify recurring compliance deficiencies across SEC-registered investment advisers and broker-dealers. While […]

KTVU's Alex Savidge spoke with Mitch Avnet, Managing Partner at Compliance Risk Concepts, about Coinbase […]

Mitch Avnet, founder of Compliance Risk Concepts, explains the surging popularity behind bitcoin and whether […]