Tag: WEBINAR

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Documenting Effective Onboarding Due Diligence [webinar]

As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory procedures for hiring or retaining […]

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Webinar: How The CRC / Phocion Partnership Benefits YOU

Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services Join CRC and Phocion for a more […]

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Best Practices for Managing Conflicts of Interest [Webinar]

  If your firm is struggling with the management and analysis of conflicts of interest, learn from a leading industry […]

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Webinar: Establishing A Regulatory-Proof Broker/Dealer Compliance Program

Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance Program in which Mitch Avnet, […]

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Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers

  Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance Issues for Investment Advisers. Investment […]

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Tackling the Challenges of Trade Reconstruction

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

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Mitch Avnet To Moderate Bloomberg Vault Webinar August 21st

Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault and Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts

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