As noted in the 2017 Regulatory and Examination Priorities Letter, FINRA will review firms’ supervisory procedures for hiring or retaining statutorily disqualified and recidivist brokers. FINRA will examine firms’ due diligence on these individuals, which will include determining whether, as part of the verification process, a firm or third-party service provider conducts a national search of reasonably available public records to verify the accuracy and completeness of the information contained in an applicant’s Form U4. FINRA will also continue to monitor for timely submission of disclosures required on Forms U4 and U5.

Efficient onboarding of new registered representatives is critical for broker-dealers. Yet many firms continue to rely on paper-based manual processes and redundant data entry, requiring constant intervention in the process and negatively impacting rep satisfaction. Join RegED and Compliance Risk Concepts, for an hour-long webinar offering insights into the ways that technology can enable firms to eliminate inefficiencies in the onboarding process.

Date: Thursday, November 2, 2017
Time: 3:00 - 4:00 PM EDT

Presented by:

Ann Robinson, Senior VP, Business Development RegED, Inc.
Mitch Avnet, Managing Partner Compliance Risk Concepts

The post Documenting Effective Onboarding Due Diligence [webinar] appeared first on Compliance Risk Concepts.

Discussing Benefits of Strategic Alliance Between Compliance Risk Concepts and Phocion Investment Services

Join CRC and Phocion for a more in-depth discussion on how their new partnership will benefit their clients in both the US and Canada.

Date: September 12, 2017
Time: 12:00 pm - 1:00 pm EST.

REGISTER HERE

After registering, you will receive a confirmation email containing information about joining the webinar.

Compliance Risk Concepts and Phocion Investment Services Formalize Strategic Alliance

NEW YORK (NEW YORK) | MONTREAL (CANADA) Compliance Risk Concepts ("CRC"), a top tier compliance consulting services firm, and Phocion Investment Services ("Phocion"), a leading service provider in performance, due diligence and compliance, are pleased to announce that they have formalized a strategic partnership.

The partnership benefits CRC's clients by expanding their offering to include a broad suite of performance measurement services. The agreement also gives CRC its initial foray into the Canadian marketplace positioning it to better serve its clients' cross-border needs. For Phocion, the partnership expands its United States prospect list;, particularly for the fast-growing performance measurement offerings... Read more

The post Webinar: How The CRC / Phocion Partnership Benefits YOU appeared first on Compliance Risk Concepts.

If your firm is struggling with the management and analysis of conflicts of interest, learn from a leading industry expert about how to begin to tackle the challenge.

Join Protegent, Compliance Risk Concepts, and your peers for an hour-long webinar, sharing experiences and lessons learned in helping firms transform from manual-based conflicts reviews, to automated and efficient technology-driven processes.

Date: August 2, 2017
Time: 2:00 pm EST.

REGISTER HERE

During the webinar, you’ll learn:

• How conflicts arise
• How firms address conflicts today
• The regulatory landscape – recent real-world lessons
• Best practices for meeting the challenge
  Register today and learn how to address the challenge of managing conflicts of interest.

The post Best Practices for Managing Conflicts of Interest [Webinar] appeared first on Compliance Risk Concepts.

Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance Program in which Mitch Avnet, Founder and Managing Partner at Compliance Risk Concepts (“CRC”) and Kristi Kuhn, Senior Solutions Consultant at ProcessUnity discussed the necessary components of establishing and maintaining the necessary infrastructure to support and scale a best-in-class broker-dealer system of supervision.

Attendees learned about PaCE – Policy and Controls Environment, a brand new offering from Compliance Risk Concepts (“CRC”) that has been specifically created by a team of former industry leading CCOs to address the needs of firms that have been historically underserved and priced out of much needed technology solutions. Participants in this webinar learned about the following PaCE features:

• Policies and Procedures Management
• Forms and Certifications Management
• Incident Management and Escalation Workflows
• Integrated Compliance Calendar
• Professional Services and Ongoing Support

Request Webinar Recording or Slides

To request a copy of the Establishing A Regulatory-Proof Broker/Dealer Compliance Program webinar recording or download the slides, please enter your information below:

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Presenters:

Mitch Avnet, Founder and Managing Partner, Compliance Risk Concepts
Mitch Avnet is the founder and Managing Partner of CRC LLC. Mitch is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements.

Kristi Kuhn, Senior Solutions Consultant, ProcessUnity
Kristi Kuhn is a Senior Solutions Consultant at ProcessUnity. Kristi has more than 12 years experience delivering governance, risk and compliance solutions to organizations of all sizes.

Moderated by:

Lilian Colpas, Senior Compliance Officer, Compliance Risk Concepts
Lilian Colpas is an accomplished compliance professional with over 12 years of global compliance experience. Lilian provides consulting services to SEC and state-registered investment advisers and conducts AML independent reviews for broker/dealers. Previously, Lilian held roles as a compliance officer for Davidson Kempner, Harding Loevner and AIG Global Investments (now PineBridge).

The post Webinar: Establishing A Regulatory-Proof Broker/Dealer Compliance Program appeared first on Compliance Risk Concepts.

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

Investment advisers face constant challenges to stay current and comply with new and changing regulations in an evolving market place. This webinar will help advisers to better understand these regulations and how they may reduce or mitigate certain risks with insurance.

Date: May 4, 2017
Time: 2:00 pm - 3:15 pm EST.

REGISTER HERE

Registration for the live webinar closes on Wednesday, May 3, at noon ET. IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. (Registrations made on or before May 3 at noon ET are automatically registered for both the live webinar and the recording.)

Presenters:

• Mitch Avnet, founder and Managing Partner, Compliance Risk Concepts, LLC
• Lilian A. Morvay, JD, Underwriting & Risk Management Consultant––Professional Liability
• Amir Tadjedin, Partner, Markun Zusman Freniere and Compton, LLP
• Paul D. Glenn, Special Counsel, Investment Adviser Association, Moderator

The post Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers appeared first on Compliance Risk Concepts.

Join SmartBrief Risk and Compliance Editor Sean McMahon and a panel of industry experts as they discuss trade reconstruction challenges in a webinar sponsored by Bloomberg Vault.

TITLE Tackling the Challenges of Trade Reconstruction
SPONSORED BY Bloomberg Vault
WHEN Tuesday September 16 1:00pm-2:00pm EDT
PANEL
Harald Collet, Global Head of Bloomberg Vault
Stephen Marsh, Founder and CEO of Smarsh
Mitch Avnet, Managing Partner, Compliance Risk Concepts

The post Tackling the Challenges of Trade Reconstruction appeared first on Compliance Risk Concepts.

Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers WHEN: Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts OVERVIEW: It’s only a matter of time before regulators begin requesting trade reconstruction in conjunction with regulatory exams. Are your systems ready? Join Bloomberg Vault for a webinar, Trade Reconstruction for Compliance Officers, and learn what you need to do to ensure your process is CFTC-compliant.

The post Mitch Avnet To Moderate Bloomberg Vault Webinar August 21st appeared first on Compliance Risk Concepts.