Insights & Resources
Blog
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New FINRA Rule for Background Checks, Effective July 1, 2015
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Compliance Challenges for Dually-Registered Firms
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Activity in Low Priced Stocks Poses Operational Risks
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Reviewing Books & Records: Including Data Destruction
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SEC Asset Management Supervision: Transition Planning
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Increased SEC Asset Management Supervision Derivatives
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Increased SEC Asset Management Supervision: Portfolio Liquidity
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SEC Announces Plan to Tighten Supervision of Asset Managers
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ETMFs: Preparing for a New Breed of Funds
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You May Be Exempt From Reg SCI, But You Still Need SCI!
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SEC Releases Findings of Broker Dealers Involved in Sale of Securities of Microcap Companies
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High Frequency Trading Firm Sanctioned for “Marking the Close”
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Compliance TV: Stayin’ Classy In San Diego
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ALERT: FINRA Cyber-Security Sweep
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Mitch Invites You Behind The Scenes
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Are you Insecure? – The First Step is Acknowledging You Need Help!
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Don’t Hate – Automate!
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A Note from Mitch Avnet
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Thomson Reuters partnership
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What’s the Big Deal about Big Data?
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EGRC Solutions or Snake Oil ?
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Developing Metrics
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Regulatory Change Management
