Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is […]
Mitch Avnet is thrilled to be participating in the upcoming Thomson Reuters Annual Financial and Risk Summit in New York City in the following sessions:
1:00 pm Breakout Session with Mitch Avnet Maintaining a culture of compliance requires far more than strong compliance programs and processes. As the front line in compliance, the business has a leading role to play to ensure that compliance is in the DNA of the organization. During this session we will discuss how to ensure that your employees, at all levels, are engaged around ethical and compliant behavior via robust training, code of conduct, managing conflicts, cases, escalations and more.
This is a complimentary event for Thomson Reuters customers, associates and industry professionals. Attendees are eligible to earn up to six NASBA certified CPE credits. For more information or to register visit: http://info.risk.thomsonreuters.com/NYCFinancialRiskSummitHomepage