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Beyond the Headlines: Crypto and Digital Asset Compliance

The recent collapse of FTX shone a bright spotlight on the perils of unregulated crypto exchanges - and resulted in significant criminal and civil penalties for fraud, misconduct and admitted failures to properly manage risk.

There’s been a lot of speculation as to what this will mean around the regulation of crypto and digital assets in the U.S and across the globe. Will the fallout speed up regulatory developments? Will regulators double down on treating digital assets as regulated securities? Is this the end of crypto in the mainstream?

The FTX failure has made it clear that firms can’t afford to wait to implement policies and procedures to manage crypto and digital asset risk. Chief Compliance Officers must sort through the uncertainty and figure out the best way forward for their firm.

Join MCO and Mitch Avnet, Founder and Managing Partner of Compliance Risk Concepts, for a factual and practical session covering what compliance needs to be doing to be prepared to manage crypto and digital asset compliance, in the short term and down the road.

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Mitch Avnet is the Founder and Managing Partner of Compliance Risk Concepts (“CRC”).  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.

Prior to launching CRC, Mitch was a member of Corporate Leadership Group (CLG) at Lincoln Financial Group (LFG) where he was Senior Vice President and Chief Ethics and Compliance Officer, having direct oversight of the company’s anti-money laundering, privacy, ethics and compliance risk management programs. In addition, Mitch maintained responsibility for Lincoln’s entire Compliance and Ethics Technology strategic initiatives, developing and implementing a long term strategic approach to upgrade and modernize the effectiveness and efficiency of Lincoln’s overall Compliance programs. Mitch was a member of the Social Media Governance Committee, having direct influence regarding LFG’s overall strategy toward the enablement and usage of Social Media outlets across the LFG footprint.

Throughout the course of Mitch’s 25+year career in the financial services industry, he has worked for top-tier investment banks, commercial banks and hedge funds such as Wachovia Capital Markets, PNC Bank and D E Shaw, developing an extensive knowledge of both buy side and sell side businesses, with a deep understanding of Equity and Fixed Income Markets, Derivative Instruments, Structured Products and Variable Products.

Mitch maintains the Series 4, 7, 9, 10, 24, 55, 63 securities license designations. He obtained his bachelor’s degree in economics, graduating magna cum laude from the State University of New York at Oneonta.


Mitch Avnet
Founder and Managing Director, Compliance Risk Concepts