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eComms Compliance: Stay Ahead of the Game

It’s clear that managing eComms is a regulatory priority, with high-profile and costly penalties for failure to preserve communications in the recent headlines. Firms of all sizes should expect that the aggressive enforcement will only continue.

What makes eComms compliance especially challenging is that it’s a moving target. Compliance teams need to be able to monitor the communication channels that employees are using today and be ready for any innovations that tomorrow will bring.

Join MCO and Mitch Avnet from Compliance Risk Concepts for a question-and-answer session featuring practical guidance on managing eComms compliance, including:

  • A dive into real-life use cases
  • Tips on supervising off-channel communications
  • How to reduce false positives 
  • Getting in front of emerging technologies

If you have any questions for our presenters, please let us know when you register.

Date : September 21, 2023

Time : 12 PM EDT / 5PM BST

Register Now


Mitch Avnet is the Founder, Managing Partner and CEO of Compliance Risk Concepts (“CRC”). Mitch is responsible for business development, relationship management and overseeing the execution of all client driven / business focused broker-dealer and asset management compliance services engagements.

Prior to launching CRC in 2013, 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 30+ 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 and Derivative Instruments, including Total Return Swaps, Variable Forwards, Hedging and Monetization Strategies, Alternative Investments and Structured Products.

Mitch maintains the Series 4, 7, 9, 10, 24, 55, and 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, Managing Partner and CEO of Compliance Risk Concepts (“CRC”)