Tackling the Challenges of Trade Reconstruction
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 ...
CRC Company Updates
The Time is Now!: Think Tank 2.0
TRADE RECONSTRUCTION IN 72 HOURS Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation. Date: October 22, 2014 Time: 12pm-7pm ...
Regulatory Mapping Support Model – Compliance Risk Concepts
Over the past several years, the massive and sweeping changes in the regulatory environment have forced financial services organizations to focus their attention and efforts toward ensuring their ...
Compliance Bulletin 04-14 – Compliance Risk Concepts
YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELFEnd of Year Compliance Requirements For Broker DealersAs the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and ...
Compliance Bulletin 01-15: A TALE OF TWO VERTICALS
The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered that many of our clients and prospects have taken a genuine interest and are often ...
Mitch Avnet Featured In Compliance Week
Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on ...
RegEd Compliance Alliance Conference – Compliance Risk Concepts
Date: May 4-6, 2015Location: Raleigh Marriott City Center | Raleigh, NC Join financial services CCOs, Compliance Professionals, senior representatives, regulators and former regulators and ...
Former SEC Chairperson, Mary Schapiro Shares Insights
Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro. As Chairman of the U.S. Securities and Exchange Commission, Mary L. ...
Mitch Avnet To Speak At Cleveland Compliance Officer Network Event
C-CON Cleveland - Compliance Officer Network Location: McDonald Hopkins LLC, 600 Superior Ave, Cleveland, Oh 44114Date: Tuesday August 4, 2015Time: 3:30 pmCPE Credit: 1 Credit Program Agenda: ...
FINRA Technology Upgrade Raises Data Standards for Firms
Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and expands its monitoring technology for the big data era, firms may feel pressure to increase ...
Three Years Later – The Song Remains the Same…
Building a Compliance Professional Services Organization Are we Hipster Chic? This past weekend I frequented a hipster coffee shop in Greenwich Village. As I drank my “chichi” cup of coffee, I ...
See Ya Lata – Bad Data!
CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is pleased to announce a forthcoming whitepaper written in conjunction with ...
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