mitch atkins

Mitch Atkins to Discuss CCO Liability at ACFCS Financial Crime Conference in New York City

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Mitch Atkins, founder of FirstMark Regulatory Solutions, is presenting at the Association for Certified Financial Crime Specialists (AFCFS) 2015 Financial Crime Conference on Tuesday, April 21, 2015.  Atkins will participate as a panelist on the Financial Crime Landscape for the Securities Industry panel and will discuss recent trends in chief compliance officer (CCO) and anti-money laundering compliance officer (AMLCO) liability.  As part of the discussion, Atkins will cover recent regulatory guidance for CCOs and AMLCOs.  There will be a panel discussion on FINRA’s recent action against an AMLCO which has raised concern among those with AML compliance responsibilities.  After the discussion on CCO liability, Atkins will discuss FINRA’s continued focus on complex products as was discussed in their Annual Examination Priorities Letter. Complex products present numerous opportunities for financial crimes, particularly when the product lacks transparency and liquidity. Atkins will discuss recent FINRA cases and examination trends involving complex products, including one related to a fraudulent private placement that resulted in the bar of a broker-dealer principal and the expulsion of his firm.

Click below for a link to the conference registration site:

mitch atkins

The Association of Certified Financial Crime Specialists (ACFCS) is a worldwide organization for private and public sector professionals who work in diverse financial crime disciplines. Its membership includes compliance officers, law enforcement agents, regulators, attorneys, technology providers, and others who work to detect and prevent financial crime in all its forms – money laundering, tax evasion, corruption, fraud, cyber crime, terrorist financing, and more. FirstMark Regulatory Solutions was founded by Mitch Atkins in December of 2013 and is based in Fort Lauderdale, Florida.  Mitch Atkins is a FINRA broker-dealer Consultant. FirstMark offers a broad range of compliance consulting services, including AML independent testing, internal controls testing, FINRA membership applications, SRO relationship management, strategic advisory, and litigation support.

Mitch Atkins Presents at FINRA South Region Compliance Seminar

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Mitch Atkins, founder and principal of FirstMark Regulatory Solutions, will present at the FINRA South Region Compliance Seminar in Fort Lauderdale, Florida on November 20, 2014.  Atkins will present as a panelist on FINRA’s Suitability panel. The panel will discuss the FINRA Suitability Rule (Rule 2111), and in particular, the suitability of variable annuity L-shares and non-traded REITs.

While he was employed with FINRA (formerly NASD), Atkins was designated as a national regulatory expert in the areas of mutual funds and variable annuities. He founded FirstMark Regulatory Solutions in December of 2013 in Fort Lauderdale, Florida. FirstMark offers a broad range of compliance consulting services, including AML independent testing, Rule 3120 supervisory controls testing, SRO relationship management, FINRA membership applications, training, and more.

To register, please visit www.finra.org/conferences/southregion

For more information and to view the seminar brochure and agenda, simply click the image below.

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FirstMark founder Mitch Atkins – Panelist at the 3rd Annual Life Equity Roundtable

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FirstMark Regulatory Solutions founder and principal, Mitch Atkins, will participate as a panelist at the 3rd Annual Life Equity Roundtable in Aurora, Ohio on July 16, 2014.  The session, titled Variable Transactions Panel, covers various aspects of variable life settlements and the regulatory requirements for transactions involving these products.  The Roundtable will be attended by representatives from every aspect of the life settlement business, including investors, actuaries, brokers and marketers.  The discussion will include legal updates within the life settlement space, including FINRA requirements for the products.

FirstMark Regulatory Solutions Announces Launch of Broker-Dealer Consulting Practice

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Fort Lauderdale – January 28, 2014. FirstMark Regulatory Solutions announced that it would begin offering consultancy services to clients in the financial services industry.  Its founder, Mitchell Atkins, said that the firm will offer its services to a variety of clients including SEC and FINRA registered broker-dealers, their accountants and their attorneys.  He said, “The breadth and scope of the ever-changing and sometimes overlapping regulatory requirements often prompts organizations in this industry to seek expert assistance. Navigating these complexities is our business and our passion.”

Atkins has over 20 years experience in various roles at the Financial Industry Regulatory Authority (FINRA) – formerly the National Association of Securities Dealers (NASD).  Most recently, he held the position of Senior Vice President and Regional Director of FINRA’s South Region.  In that role, he oversaw the regulatory programs of FINRA’s Dallas, New Orleans, Atlanta and Florida District Offices.  Atkins has extensive experience in the areas of regulatory risk assessment and complex regulatory matters.  Atkins said,

“I am excited about the opportunity transform my extensive experience and unique perspectives into valuable insights that will help those in the industry successfully navigate its complex regulatory environment.”

FirstMark Regulatory Solutions, which is headquartered in Fort Lauderdale, Florida, will provide specialized services including litigation support, FINRA membership applications, AML independent testing and more.