In this 20 minute extract from the Fitch Learning classroom tuituion phase of the Regulation and Compliance course the instructor covers part of the Insider Trading material that will be tested in the CISI examination. Including an introduction to the relevant legislation, the statutory offences, who can commit the offences and what inside information is. For information about the courses we offer to help you complete the CISI Diploma in Investment Compliance, please visit our website: https://www.fitchlearning.com/diploma-investment-compliance As part of the Fitch Group, Fitch Learning partner with clients to elevate knowledge and skills and enhance conduct. With centres in London, New York, Chicago, Singapore, Dubai and Hong Kong; we are committed to questioning and understanding client needs across the globe and on the ground locally. Our people advise and build learning solutions to accelerate the achievements of the individual, and the company across the entire employee lifecycle.
Views: 3047 Fitch Learning
Trade Compliance from a Portfolio Manager’s Perspective www.impconsults.com Portfolio Managers and Traders frequently complain about the Automated Trading Compliance System. The top three complaints that we hear at IMP include: • “We get tons of false violations. We have to close things out constantly just to get a trade through.” • “The messages from the compliance system make no sense, and have nothing to do with my portfolios.” • “My model shows me as within the limit, but the compliance system states otherwise. Why?” For Compliance teams, it’s as equally frustrating. When the rules were written, the PMs signed off on all of the rules for their funds. Why isn’t this working? This video training series looks at real trade compliance experiences from the PM/Trader’s desk, and gives compliance teams a glimpse into why some rules aren’t working. It also discusses options for compliance teams to implement changes that will support a unified and seamless trading workflow.
Views: 895 IMP Consulting
Global trade has exploded over the past decade. The opportunities to grow and safe are enormous. But conducting global trade is also enormously complex due to regulatory controls and reporting requirements. Companies must stay in compliance. Importer must collaborate with their trading partners to ensure complete and accurate information for shipments. Companies must comply with a vast array of country specific import regulations to avoid regulatory violations, penalties, delays at customs and increased costs. Exporters are likewise challenged to comply with export regulations, government filing requirements and a host of security procedures. Amber Road’s solutions automate all compliance functions. Our solution performs restricted party screening against blacklists. Determine import and export license requirements, generates shipping documents to file with government agencies and creates a complete audit trail. The solution provides rich analytics to help professionals better understand their trade flows and make decisions to optimize sourcing and distribution strategies. Download our white paper, The ROI of Automating Trade Compliance - http://bit.ly/ROI-of-Trade-Compliance
Views: 5481 Amber Road
http://optionalpha.com - ================== Listen to our #1 rated investing podcast on iTunes: http://optionalpha.com/podcast ================== Download your free copy of the "The Ultimate Options Strategy Guide" including the top 18 strategies we use each month to generate consistent income: http://optionalpha.com/ebook ================== Grab your free "7-Step Entry Checklist" PDF download today. Our step-by-step guide of the top things you need to check before making your next option trade: http://optionalpha.com/7steps ================== Have more questions? We've put together more than 114+ Questions and detailed Answers taken from our community over the last 8 years into 1 huge "Answer Vault". Download your copy here: http://optionalpha.com/answers ================== Just getting started or new to options trading? You'll love our free membership with hours of video training and courses. Grab your spot here: http://optionalpha.com/free-membership ================== Register for one of our 5-star reviewed webinars where we take you through actionable trading strategies and real-time examples: http://optionalpha.com/webinars ================== - Kirk & The Option Alpha Team
Views: 474 Option Alpha
Asset Management: Industry overview and Careers in Asset Management Asset Management is about managing clients’ investments and providing them with the strategies and expertise that would allow them to achieve their goals and secure their financial future. This video is part of our series dedicated to the different sub-industries in the world of Business & Finance.Our goal is to understand how it functions, what type of services it offers its clients, which are the major players in the field and what it is like to do this for a living. An individual or an institution is likely to approach an asset management firm when their investment income is substantial. In such cases, asset managers are able to offer expertise across a wide spectrum of asset classes (such as stocks, bonds, commodities, real estate, private equity, etc). Moreover, large firms have branches all over the world and are therefore able to offer geographical expertise as well. Given that asset managers closely follow all of these markets, they are able to offer high-quality advice and superior risk-return investments. The large players in the asset management industry are indeed very large. There are several companies whose assets under management exceed $1 trillion. Some of them are pure investment funds (BlackRock, Vanguard, StateStreet, Fidelity), while others are arms of the large banking conglomerates (Goldman Sachs, Deutsche Bank, UBS, BNP). The largest firm in the world in terms of assets under management in 2015 was BlackRock. On Facebook: https://www.facebook.com/365careers/ On the web: http://www.365careers.com/ On Twitter: https://twitter.com/365careers Subscribe to our channel: https://www.youtube.com/365careers
Views: 123836 365 Careers
Thomson Reuters has carried out its annual survey on the cost of compliance and the challenges financial services firms expect to face in the year ahead. The survey is now in its ninth year and generated responses from over 800 compliance senior practitioners worldwide, representing global systemically important financial institutions (G-SIFIs), banks, insurers, broker-dealers and asset managers. As with all previous years, the report builds on annual surveys of similar respondents and, where relevant, highlights year-on-year and regional trends. Head of Regulatory Intelligence for Thomson Reuters, Stacey English, talks through some of the key findings.
Views: 388 Thomson Reuters
Safeguard your company’s reputation by using the IBM Surveillance Insight for Financial Services solution to efficiently monitor trading-related activities and complex trading scenarios. Its sophisticated analytics can help you generate proactive surveillance results by combining data from different sources, bringing together both structured and unstructured data such as chat transcripts, email communications, voice recordings, social media posts and trade transactions. In this demo, watch how a compliance officer in the brokerage arm of a large financial services company discovers a pump-and-dump violation by reviewing data displayed in a Surveillance Insight dashboard. To learn more about how IBM is transforming the financial industry with fintech solutions, visit http://ibm.co/wealthanalytics. Subscribe to the IBM Analytics Channel at https://www.youtube.com/subscription_center?add_user=ibmbigdata. The world is becoming smarter every day. Join the conversation on the IBM Big Data & Analytics Hub: • http://www.ibmbigdatahub.com • https://www.youtube.com/user/ibmbigdata • https://www.facebook.com/IBManalytics • https://www.twitter.com/IBMAnalytics • https://www.linkedin.com/company/ibm-big-data-&-analytics • https://www.slideshare.net/IBMBDA
Views: 1656 IBM Analytics
The function of the International Trade Compliance Officer is to provide direct support to the Company’s directors in the management of international trade issues. See more open international trade jobs and trade compliance careers from Pisani Recruiting: http://www.pisanirecruiting.com/
Views: 188 Pisani Recruiting
Henry Balani, Head of Strategic Affairs at Accuity will be presenting a webinar sponsored by the Florida International Bankers Association on “Managing AML Risks in Trade Compliance Management: A Focus on The Americas” Review of recent regulatory action: Where are the deficiencies and how are banks mitigating the risk of money laundering and terrorist financing in their trade finance business? Overcoming key challenges and best practices to help improve your Trade Compliance screening processes including Dual Use Goods screening. http://www.fibaaml.com
Views: 375 FIBA Bankers
Corporate Governance Expert, Timothy Crudo explains why compliance training is so essential for companies and employers.
Views: 253 Emtrain
Jack Kelly, The Compliance Search Group
Views: 28 Jack Kelly
Demand manager talks to the CEO of NextGen, experts in energy and environmental certificate markets about ESCs, VEECs, STCs and LGCs, for income generation and management.
Views: 1475 Demand Manager
If you want to ensure your traders are conforming to all regulations in every single communication, all conversations must be under constant surveillance. NICE Communication Surveillance enables you to take complete control over your trading floor communications and proactively detect breaches of compliance rules and fraud in real time, as well as conduct an effective and thorough investigation.
Views: 5579 NICE
This Video explains how order is created , order enrichment, order compliance check and order execution. Also, different types of traders and different types of orders is also explained. Alongwith difference between Sales Desk and Dealing Desk. Simply said How Traders execute Orders in their systems?
Views: 10948 Capital Markets Easy
Many organizations are struggling to keep up with the rapidly changing pace of money laundering crime, fraud risk and cybercrime prevention. Anti-bribery and corruption have also become regular headline news. Navigating these risks and implementing effective, proactive KYC and security efforts has never been more complex and a high priority business issue. On the 11th of May 2016, BDO and Dow Jones got together with other AML, anti-corruption and cybercrime experts to discuss these issues and draw out fresh approaches to defending organisations against these evolving threats.
Views: 238 BDO in New Zealand
In this short demo, see how a compliance officer in the brokerage arm of a large financial services company is able to quickly discover a pump and dump violation by reviewing data clearly displayed in a Surveillance Insight dashboard. Learn more about how IBM is transforming the financial industry with fintech solutions: http://ibm.co/wealthanalytics Subscribe to the IBM Analytics Channel: https://www.youtube.com/subscription_center?add_user=ibmbigdata The world is becoming smarter every day, join the conversation on the IBM Big Data & Analytics Hub: http://www.ibmbigdatahub.com https://www.youtube.com/user/ibmbigdata https://www.facebook.com/IBManalytics https://www.twitter.com/IBMAnalytics https://www.linkedin.com/company/ibm-big-data-&-analytics https://www.slideshare.net/IBMBDA
Views: 2374 IBM Analytics
This one-day training course will provide practical, hands-on advice about the FAST Compliance Manager product and how your organisation can fully utilise the benefits that FAST Compliance Manager brings. By completing this course delegates will gain the personal achievement of becoming an accredited FCM User. Visit http://www.fast-compliance.co.uk/training__events/fcm_training.aspx for more information.
Views: 247 FASTCompliance
Crypto World Evolution Get the Product that pay us money!! Signup here https://bit.ly/2qZjTuP *Huge opportunity from cryptonetworker* *A chance to be MultiMillionaire* ???????????????????? Are you cryptocurrency trader? Is this your problem in trading : ??No experience about trading ??Don't know what coin to buy ??What price to buy and sell ??No time for watching market everytime ??Always panic in up and down price Crypto World Evolution! Get the Product that pay us money!! Signup here https://bit.ly/2qZjTuP ??Presenting our new technology?? ??Automatic bot profit 1-5%/Daily and semi automatic bot. ??Trading so easy and no scared of SCAM ??Control your own financial in exchanger ??Set your amount and profit ??Bot package $500 max trade $2500 ??Bot package $2000 max trade $10.000 ??1 year contract ??Automatic and semi utomatic trading ??exchanger : bitrex, binance, bitfinex and okex,,Soon hitbtc ??Owner: Tomas Perez (Vegas) ??Co-Founder: Randy Case (Colorado, USA) ??Head Office: Madrid, Spain Crypto World Evolution! Get the Product that pay us money!! Signup here https://bit.ly/2qZjTuP ??Earning anytime With simple step?? 1. Register and buy bot 2. Register in exchangers ( bitrex, binance, okex, bitfinex or hitbtc) 3. Connect API exchanger to bot 4. Deposit Bitcoin on your exchanger 5. Set your bot in just 30seconds 6. Start earning anytime while you sleep Isn't that so easy???!!! Yeah we are the new revolution to make you rich in crypto world. Crypto World Evolution Get the Product that pay us money!! Signup Link Referral https://bit.ly/2qZjTuP ??Read this one?? ??Compensation plan ?? Huge bonus for networker 1. Direct 15% 2. Indirect 5%(from your 2nd level only) 3. Binary 10% ( unlimited level) 2000 PV right / 2000 PV left = $200 commission (10%) capped at $10,000 earnings per day / $60,000 per week, this is paid daily at midnight PST timezone (vegas timezone) 4. 3x20 Matrix - 5% to 20 levels of 10% of trade profits( paid weekly) Matrix 3x20 is interesting which you can earn weekly more and more from your downline profit. Every week we have to pay 20% profit to company, 10% is taken by company, 5% for matrix paying 3x20 matrix upline. 5% for other compensation plan. 5. Unilevel - Builder pools = profit share based on rank advancement, 8% (paid monthly) CWE sharing benefit for those rank which you can earn huge from company benefit based on your rank regional director 2% of pool 1 national director 2% of pool 2 international director 2% of pool 3 world director 2% of pool 4 First come first serve, no registration link yet. Just contact your sponsor and register manually to get your position Crypto World Evolution! Get the Product that pay us money!! Signup here https://bit.ly/2qZjTuP *Join our CWE community* https://t.me/CWECryptoNetworker Recommend Trading Exchang. https://www.binance.com/?ref=22292129 *Overview CWE Opportunity* https://www.youtube.com/watch?v=dwQjVOQZfV8 *Compensation Plan* https://www.youtube.com/watch?v=t1z5w7Xljuo Crypto World Evolution! Get the Product that pay us money!! Signup here https://bit.ly/2qZjTuP
Views: 15 Crypto Tinkoff
SAI Global's insider trading ethics and compliance content and solutions are previewed in this video. These training and communication tools are designed to improve business conduct through employee engagement, awareness, and effective learning experiences. With our campaign-based approach to ethics and compliance programs and our prime, train, apply, sustain model, your organization will be able to create and foster a culture of compliance with modern, relevant, localized, and mobile accessible content that is designed to be specific to each employee’s risks and responsibilities. Learn more by visiting www.saiglobal.com/ethicscompliance today.
Views: 70 SAI Global
Our interview Brian.and Ryan discussing their reviews on Crypto World Evolution trading community and 'CWE trading bot software. They will discuss the value in the company and the income producing ways it grows your bitcoin., Should you want to learn more about the trading software and hoe it works as well as how the distributor side works please leave me a message in the comments below. or contact me at [email protected] I;d love to help you learn. It's so easy and fun to use,
Views: 54 A Smart Approach With Crypto
Kevin Willis, VP International Trade Compliance, Tyco Security discusses how Amber Roads Global Trade Management solutions enable its supply chain to stay optimized by ensuring the unimpeded flow of products, services and technology globally. Tyco is a world leading fire and security company which supports over 200 major hospitals, 300 government instillation buildings, 100 major sports stadiums and 3 million customers globally. With Amber Roads trade compliance solutions, Tyco has the confidence that the transactions they are affecting are operating within a compliant framework. Amber Roads solutions provide the right people, processes, and tool set by ensuring speed in the market place as well as a multitude of different choices in a module approach, including: Restricted Party Screening Trade Automation Import Operations Import Compliance Export Compliance Discover how Amber Roads solutions can ensure compliance while saving your company time and money by watching the video today! To learn how your organization can realize productivity savings of up to 90% by effectively managing and automating its trade compliance program, download The ROI of Automating Trade Compliance whitepaper: http://bit.ly/ROIofAutomatingTrade
Views: 4102 Amber Road
http://www.compliance11.com | Learn How to use Compliance11 Personal Trading Software | Benefits of Compliance11's Personal Trading Software: * Pre-clear and reconcile personal trading with electronic brokerage firm confirmations. * Supports auto-approval of trading activity as well as pre-set holding periods. * Maintain public "restricted lists" and private "watch lists". * Report on key activities including "front running", "unapproved trades", "trade activity by symbol, account & employee". * Document personal trading activities and timing with a comprehensive audit trail.
Views: 4474 Compliance11
b-next is a specialist Capital Markets Trading Surveillance and Compliance solution provider. b-next’s CMC:Suite solution offers a single integrated compliance platform with over 100 different scenarios for the detection of Market Abuse, Insider Trading, Conflicts of Interest, FX Benchmarking, Derivatives/OTC Monitoring, Best Execution Reporting and Monitoring of Trading Activity. It supports a diverse range of global clients including banks, brokers, asset managers, exchanges, regulators and energy utilities. Find out more about b-next here: https://www.b-next.com
Views: 180 b-next holding AG
Better risk controlling and compliance work. As a risk controller or compliance officer you need to deeply understand the work of your trading department. Take control and enhance your controling quality to a new level.. This Certified Derivatives Trader Nanodiploma™ delivers exactly that. More information here: https://go.tradimo.com/nanodiplomas/certified-derivatives-trader/compliance
Views: 53 Tradimo - Your money learning platform
Regulations across the globe have led to asset management and wealth management / investment advisory firms being required to conduct in-depth post trade analysis to detect, prioritize and mitigate operational and compliance risks derived from trading activities.
Views: 35 Compliance Solutions Strategies
TT Score from Trading Technologies is revolutionizing how trading firms manage regulatory compliance by applying machine learning to trade surveillance. TT Score is trained with data from regulatory cases to recognize and flag the patterns of spoofing and other forms of manipulative trading activity. Compliance staff can easily assess and proactively address regulatory risk to avoid investigations, fines and even jail time. Contact TT today to start your free trial. Trade futures, options, cryptocurrencies and more with the TT trading platform. Learn more: https://www.tradingtechnologies.com
Views: 190 Trading Technologies
Video 3: Poorly Coded Cross-Trading Rule www.impconsults.com Front Office Complaint: • “The messages from the compliance system make no sense, and have nothing to do with my portfolios.” • The rule caught every F/X Trade, creating a constant flow of false positives for legitimate trades Options for Compliance: • If seeing hundreds of overrides on daily or weekly basis, take time to look at rules and further tailor them to do exactly what it is that you intend vs. blanket statement. • Be careful about the way you set it up. It can create many false violations, and cause you to miss the real violations.
Views: 828 IMP Consulting
Discussion Moderated by Deepak Taheem, Regional VP, MetricStream Experts: Jacqueline Barrett, Group Risk & Compliance Director, Vodafone, Rory Conway, Head of Compliance, MetLife Europe, Caroline Agletiner, Sr.Compliance Officer, Société Générale and Mark Everard, Global Head, Regulatory Affairs Risk Assessment, HSBC London
Views: 1384 MetricStream
https://www.onetick.com/web/solutions/market-surveillance Combining robust built-in alerts with the power to add your own, the OneTick Market Surveillance Solution delivers continuous examination of order flow, order-by-order replay, case management, high performance, and low total cost of ownership. Smart features include: • Fully hosted or deployed • Customizable alerts & dashboard • Market data, orders, and trades replay • Intuitive case management • Multi-market, multi-asset coverage Powered by the OneTick Event Stream Processing engine, the OneTick Market Surveillance Solution makes it easy for compliance officers and trading supervisors to spot, triage, and act on anomalies. In this pre-recorded webinar, OMD’s Dermot Harriss will demonstrate the main features and use cases of the solution, and describe the architecture. Anyone concerned about improving the quality and accuracy of market surveillance will find this webinar useful as a primer on state-of-the-art surveillance technology. About OneMarketData, LLC OneMarketData provides smarter data management solutions for quantitative research, surveillance and back-testing to enable market participants to outmaneuver the competition. Through its flagship product OneTick, a premiere event stream processing and tick data management solution, quants, analysts and traders can enhance alpha and increase performance. OneTick is an enterprise product built by Wall Street experts to address the sophisticated data analysis needs of the most discerning financial institutions. More information about OneMarketData is available at www.onetick.com. Visit our main YouTube Channel:https://www.youtube.com/channel/UCyo5Ld7AVxFVEpcgVCt88jw/ Google Plus Business Page:https://plus.google.com/+OnemarketdataBlogspot/about One Tick On Wordpress:https://onetick.wordpress.com/ Twitter:https://twitter.com/OneMarketData OneMarketData On Blogger:http://onemarketdata.blogspot.com/
Views: 1576 OneMarketData
The Market Abuse Regulation was designed to detect and deal with various forms of market abuse, including insider trading and market manipulation, forcing buy-side firms to deploy new technologies in order to comply. Panelists discuss the operational and technology challenges facing buy-side firms when it comes to complying with the EU's Market Abuse Regulation, introduced in July 2016. Panelists: - Elinor Murray, deputy head of European compliance, Janus Henderson Investors - Gautam Sachdev, managing director, global head of monitoring & surveillance, Risk Management Group, Macquarie Group - Bruno Piers de Raveschoot, chief operating officer, RIMES Technologies’ RegTech Division - Moderator: Victor Anderson, editor-in-chief, Waters and WatersTechnology Issues covered in this 33-minute webcast include: - The current state of play with respect to buy-side firms complying with the central tenets of the Market Abuse Regulation (MAR) and what their most acute pain points are. - The issues buy-side firms tend to underestimate in terms of complexity when it comes to complying with MAR. - The technologies/services available to buy-side firms to assist them on the compliance front. - The functions/ingredients that a competent MAR platform/service should include. - How buy-side firms can satisfactorily address the significant data challenges when complying with MAR with respect to market, reference and pricing data and news feeds. - The operational and technology challenges associated with accurate and reliable market surveillance – for example looking at various forms of market manipulation, monitoring trading activities across multiple asset classes and markets, and possibly even monitoring activities at the fill level – from an end-user (buy-side) perspective. - The extent to which emerging technologies (such as AI) can be used to monitor and detect market abuse.
Views: 273 RIMES Technologies
📈 My Personal Portfolio & Trading Updates | Brandon’s Buys ➤ http://bit.ly/BrandonsBuys Today I'll review the new Wealthsimple Trade App. Follow Me Here: Facebook: https://www.facebook.com/brandonbeavi... Instagram: https://www.instagram.com/brandonbeav... Twitter: https://www.twitter.com/BB_Investing LinkedIn: https://www.linkedin.com/in/brandonbe... Website: https://www.brandonbeavis.com Below are a couple of links to some of the commonly asked questions on my channel. You can sign up through these links for special offers such as getting your FIRST $50 IN COMMISSION-FREE TRADES! 🏦🇨🇦My Favourite Canadian Broker (Questrade): https://www.questrade.com/campaigns/qbaffl50t102?refid=ayiice9l 🏦🇺🇸My Favourite US Robo-Advisor (Betterment):https://www.betterment.evyy.net/c/135... How To Start Investing Video: https://youtu.be/f4ur66dNYiY Playlist for Beginner Investors: https://www.youtube.com/watch?v=wRCOY... As always, I thank you for all the support on the channel. This community we are building wouldn’t be possible without you guys! Thank you for spending time on the channel, asking questions, sharing and liking the videos. I appreciate all of the feedback, both positive and negative on how I can make this channel better. Thanks for watching and I hope you enjoy! :D New videos every Monday! Weekly Review videos every Saturday! And if I’m feeling good… Bonus videos throughout the Week! Business Inquiries: [email protected] ----------- About Brandon Beavis: Brandon Beavis was one of the youngest advisors to become fully-licensed here in Canada. In 2013, Brandon officially began his industry studies. Over the years he has completed his CSC (Canadian Securities Course), CPH (Conduct & Practices Handbook), WME (Wealth Management Essentials), 90-day Investment Advisor Training Program, attended the Manulife Professional Development Workshop in Oakville, ON, and attended countless industry seminars, conferences & events to help further his learning. At age 20, he became a fully-licensed Investment Advisor, working for one of Canada’s largest Investment Brokers, Manulife Securities. For the past 3 years, he has worked alongside a highly experienced team at Beavis Wealth Management, specializing in High-Net-Worth Investing. He’s had the opportunity to work under his Father, an advisor of over 25 years, and has dealt hands-on with client portfolios, involving; analyzing, building, and managing multi-million dollar client accounts. He is also currently serving as the Chief Research Officer at Beavis Wealth Management. For compliance issues, he has suspended his license to pursue building up his YouTube channel. ----------- My goal with this channel is to educate and bring awareness to the importance of investing, especially amongst the younger generation. Investing is something that each and every one of us should be doing and it’s the ones that take action now that will be rewarded down the road.
Views: 3087 Brandon Beavis Investing
IComply inaugura seu novo quadro no qual busca entrevistar profissionais de Compliance que contribuam com a disseminação do tema. Nesta edição, entrevistamos Rogéria Gieremek, Chief Compliance Officer, responsável pela operação de compliance de uma grande empresa multinacional. Visite também nosso site e conheça mais do nosso aplicativo para gestão do programa de Compliance da sua empresa, o iCOMPLY: http://icomply.com.br Parte 2: https://youtu.be/IEvVy523pxc Parte 3: https://youtu.be/gWmteisf6AU Se quiser saber mais sobre Compliance e ações anticorrupção assinem o canal. Nosso vlog: http://compliance.icomply.com.br
Views: 1778 iCOMPLY APP
International Trade Advisors perpares Export Management and Compliance Programs for Australian companies. visit http://www.internationaltradeadvisors.com.au Is your company trading defence goods or goods that have both a civil and military application? If your export management and compliance program does not exist or has not been reviewed for some time, you could be leaving your company, your foreign parent or suppliers exposed to large fines and penalties. As a result, your company could also lose key government contracts or damage your business relationships. A well written set of practical, easy to understand, and easy to access, export compliance policies and procedures is essential to the compliance program of any company trading in controlled goods or technology. International Trade Advisors can develop an Export Management and Compliance Program that is custom tailored to your business' needs. The EMCP will serve as a working guide as well as a training resource and will be the basis for your company's own periodic internal compliance audits. The EMCP is tailored specifically for your company and aligns corporate, administrative, and operational policies with relevant multinational export regulations. We can work with your staff to develop an EMCP that at a minimum covers: • Your company's export compliance policy • Identifying transactions requiring an export license • How to determine if an article is subject to the US ITAR • Re-export and re-transfer requirements • Identifying red flags • Export screening procedures • Deemed export controls • How to handle compliance issues including suspected violations • Recordkeeping requirements • What to do when a violation is discovered • Where to look for information or assistance Contact us today to find out more about how we can help you create or update your Export Management and Compliance Program. If your company is a small to medium sized enterprise, you may qualify to receive government assistance to cover consulting fees associated with creating your EMCP. Contact us to find out more.
Views: 481 Eva Galfi
Rahul Oberoi is a Compliance and Risk Manager at Fidelity. He makes sure that fellow employees follow the rules of finance and he makes sure that risks to the company are understood. He has been able to travel and work in India, New York, Bermuda and London in the finance industry.
Views: 252 icould career stories
Alan Norquist, CEO & Founder, Veriphyr, Inc. discusses steps can compliance officers take to prevent insider data theft.
Views: 82 ComplianceVideos
Global Compliance Management is a Registered Investment Advisor here in Orange County, California. This is my career dream and it is now a reality. I bring a tremendous wealth of education and experience to my firm, that is missing in the majority of firms managing money these days. I do look forward to connecting with you and working with you to solve the many questions regarding your financial security for your family and future generations. If you are in Southern California, feel free me to contact me anytime! Thanks for supporting my firm
Views: 26 Craig Taggart
As regulatory demands have intensified with the implementations of Dodd-Frank and MiFID, the role of the compliance officer has changed dramatically, notes Nasdaq OMX's Paul McKeown, VP, market technology, global surveillance. According to McKeown, compliance officers finally have earned a seat at the table, but now they must understand the business of trading and be able to assess abusive trading behavior. And as the global financial markets become ever-more interconnected, he tells TABB Group's Laurie Berke, the need for cross-market, cross-asset-class surveillance is paramount for compliance -- on both the buy and sell sides.
Views: 989 TabbFORUM
Randy Littleson, Senior Vice President of Marketing at Flexera Software, discusses the importance of collecting both hardware and software asset inventory data for determining your license compliance position. To find out more, please visit: http://learn.flexerasoftware.com/SLO-WBNR-Gaining-Visibility-Control-Assets
Views: 212 Flexera
* Brief Company Overview: http://bit.ly/ShortIMLoverviewBB13 My Forex Trading Journey Day 11 of 30 Trading Disclaimers #ForexTrade30 * For More info on our products and to Join IML please follow this safe link: http://bit.ly/imarketslivetools1 * To Join and learn more…. http://bit.ly/IMLcustomerSignup When joining: Please select Customer only on the Platinum Package! Also, add SwipeTrades to your package if you are interested in copying-and-pasting trades from professional traders—this is the single easiest way to start profiting right away, even if you know nothing about Forex. You will then be contacted and added to our Exclusive Ninja Group! I look forward to personally welcoming you to our team! * Connect with me and send me a message on Facebook: https://www.facebook.com/realjoshgreeson * Like our (public) Facebook Page: https://www.facebook.com/forexbootcamp * HIGHLY RECOMMENDED: Request to join our (private) FB Group where you can learn more information about IML, Forex, and this opportunity to learn to trade and change your life: https://www.facebook.com/groups/forex... NOTE: You will be asked 2 questions which you must answer honestly to gain access. * Trading Forex is not a “scam.” The Forex a $5.3 trillion dollars-per-day market—the largest financial market in the world. Until a few years ago, only the BIG financial players like Banks, Insurance companies and Governments were trading Forex. The fact is, if you have a bank account, YOUR BANK is using YOUR MONEY to trade on the Forex right NOW as we speak—except THEY are keeping all the profits for themselves (and giving you a measly 1-2% interest per year for letting them get rich with your money). But now, the playing field has been leveled! If you’d like to learn how to trade and make YOUR MONEY multiply and benefit YOU AND YOUR FAMILY (instead of the bankers and theirs)—You’re in the right place... * iMarketsLive (IML) is by far the best, most PROVEN SYSTEM of Forex/crypto trading education, software tools, mentoring, and trading strategies in the WORLD—hands down. They’ve made this skill accessible to normal, everyday people like YOU and me--yes, even YOU! We’ve got OVER 70,000 CUSTOMERS from all walks of life learning to trade forex and cryptos, with the goal of financial freedom—college students, single parents, people living on fixed incomes, rich/poor, young/elderly, all colors/religions/races, and now in over 120 countries of the world--We’re EXPLODING with growth because of the POWER of this opportunity! Start learning how to trade Forex and cryptocurrencies, and use this skill to make and multiply money for the rest of your life! * Join our private Facebook Group now: https://www.facebook.com/groups/forex... ____________________________________________________________________________ * FTC DISCLAIMER: Trading can contain substantial risk and is not suited for every investor. An investor could potentially lose all or more than their initial investment. "Risk capital" - is money that can be lost without jeopardizing ones financial security or lifestyle. Only "risk capital" should be used for trading and only those with sufficient risk capital should consider trading. iMarketsLive is not a licensed financial advisor nor does it or give out financial advice. The user of IML products and/or services assumes full risk and responsibility for their trading activity. Past performance is not indicative of future results. Individual results will vary due to a variety of market and timing conditions. Relevant search terms: Imarketslive, IML, Harmonic Scanner, harmonic trading, harmonic patterns, trading signals, forex signals, trade idea, trade alert, imarketslive TV, IMLTV, IML TV, live interactive mentoring, forex trading mentor, trading mentorship, trading apprenticeship, forex trainee, Josh Greeson, forex bootcamp, foreign exchange, forex, forex trading, how to trade forex, learn to trade forex, forex training, forex education, learn forex, forex for beginners, easy forex, simple forex, Web Analyzer, SwipeTrades, Harmonic Scanner, harmonic patterns, harmonic trading, forex software, IML TV, SwipeCoin, imarketslive review, IML review, IML scam, Christopher Terry, Brandon Boyd, Jason Brown, Matt Rosa, Alex Morton, David Imonitie, Austin Godsey, cryptocurrency trading, crypto, crypto currency, how to trade crypto, learn to trade crypto, IML Academy, Crypto Academy, IML Universe, IML Crypto, imarketslive crypto, forex trading signals, forex trade signals, high probability trading, low risk forex trading,
Views: 30 Forex Bootcamp Group
Nav Mathur, Senior Director - Global Solutions - Neo4j In the aftermath of the Lehman crisis of 2008, financial services firms face a number of new regulations and risk management challenges. One key regulation is the Fundamental Review of the Trading Book (FRTB), which is part of the upcoming Basel IV set of reforms. The new regulations require banks to reserve sufficient capital to maintain solvency through market downturns and avoid the need for government bailouts. However, in this challenge lies an opportunity: Banks are using FRTB mandates in order to build a firm foundation for future risk management and compliance applications that lower development and staffing expenses, optimize reserve ratios, maximize available capital and drive investment profits. This webinar discusses why your financial services firm should build your own internal risk models to avoid the higher capital reserve requirements set by regulators. This approach requires connected data, traceability and the speedy calculation of aggregate risk, but it results in lower reserve requirements and higher profits. This webinar will also include a demonstration of such internal risk models and will include a real-life scenario to showcase the value of graph technology to realize these risk models and their associated data lineage and risk calculations.
Views: 382 Neo4j
Bring together compliance, audit, administration and advice and manage and connect the end to end advice process recording all activity from the initial lead stage through to the final quality check post advice. Website: https://www.iress.com For more news on the world of finance and financial software Add us on: Instagram: http://www.instagram.com/iress_global Twitter: http://www.twitter.com/iress LinkedIn: https://www.linkedin.com/company/iress This video is published by and on behalf of IRESS Limited, its branches, subsidiaries and members of its group of companies (together, "IRESS" or "we"). The information provided is for general information purposes only and IRESS disclaims all liability in respect of any reliance placed upon it. IRESS does not warrant the accuracy of the information provided and does not accept liability for any errors or omissions. We reserve the right to change the information at any time, including, but not restricted to: products; services; prices; descriptions; and product or service specifications.
Views: 1564 IRESS
📈 My Personal Portfolio & Trading Updates | Stock Market Membership Group ➤ https://brandonbeavisinvesting.teachable.com/p/brandonbeavisinvesting-stockmarket Today we'll talk about how taxes work in Canada. https://turbotax.intuit.ca/tips/the-federal-dividend-tax-credit-in-canada-332 https://www.theglobeandmail.com/globe-investor/investment-ideas/strategy-lab/dividend-investing/you-do-the-math-almost-50000-in-earned-dividends-0-in-tax/article4599950/ TFSA Explained - https://www.youtube.com/watch?v=fcQVmZp0G-Y&t RRSP Explained - https://www.youtube.com/watch?v=mR2jA0sd3cE W8-Ben Form - https://www.irs.gov/pub/irs-pdf/fw8ben.pdf Follow Me Here: Facebook: https://www.facebook.com/brandonbeavi... Instagram: https://www.instagram.com/brandonbeav... Twitter: https://www.twitter.com/BB_Investing LinkedIn: https://www.linkedin.com/in/brandonbe... Website: https://www.brandonbeavis.com Below are a couple of links to some of the commonly asked questions on my channel: 🏦🇨🇦My Favourite Canadian Broker (Questrade): https://www.questrade.com/campaigns/qbaffl50t102?refid=ayiice9l (You can sign up through this link and get your FIRST $50 IN COMMISSION-FREE TRADES!) How To Start Investing Video: https://youtu.be/f4ur66dNYiY Playlist for Beginner Investors: https://www.youtube.com/watch?v=wRCOY... As always, I thank you for all the support on the channel. This community we are building wouldn’t be possible without you guys! Thank you for spending time on the channel, asking questions, sharing and liking the videos. I appreciate all of the feedback, both positive and negative on how I can make this channel better. Thanks for watching and I hope you enjoy! :D New videos every Monday! Weekly Review videos every Saturday! And if I’m feeling good… Bonus videos throughout the Week! Business Inquiries: [email protected] ----------- About Brandon Beavis: Brandon Beavis was one of the youngest advisors to become fully-licensed here in Canada. In 2013, Brandon officially began his industry studies. Over the years he has completed his CSC (Canadian Securities Course), CPH (Conduct & Practices Handbook), WME (Wealth Management Essentials), 90-day Investment Advisor Training Program, attended the Manulife Professional Development Workshop in Oakville, ON, and attended countless industry seminars, conferences & events to help further his learning. At age 20, he became a fully-licensed Investment Advisor, working for one of Canada’s largest Investment Brokers, Manulife Securities. For the past 3 years, he has worked alongside a highly experienced team at Beavis Wealth Management, specializing in High-Net-Worth Investing. He’s had the opportunity to work under his Father, an advisor of over 25 years, and has dealt hands-on with client portfolios, involving; analyzing, building, and managing multi-million dollar client accounts. He is also currently serving as the Chief Research Officer at Beavis Wealth Management. For compliance issues, he has suspended his license to pursue building up his YouTube channel. ----------- My goal with this channel is to educate and bring awareness to the importance of investing, especially amongst the younger generation. Investing is something that each and every one of us should be doing and it’s the ones that take action now that will be rewarded down the road.
Views: 1486 Brandon Beavis Investing