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  • ...er Dodd-Frank, DSIO also will be responsible for developing and monitoring compliance with regulations addressing registration, capital adequacy and margin requi ...cases, including [[bankruptcy]] proceedings which involve futures industry professionals. As the Commission’s legal advisor, OGC reviews all substantive regulator
    21 KB (2,605 words) - 09:47, 13 January 2020
  • ...hly, except July and August, by FIA for brokerage firm management, futures professionals, active corporate, [[institutional]] and individual [[trader]]s, members of *[[Thomas Erickson]], Corporate Compliance Lead, Cargill
    17 KB (2,341 words) - 14:08, 19 March 2020
  • ...gh-performance [[trading]] software, infrastructure and data solutions for professionals.<ref>{{cite web|url=https://www.tradingtechnologies.com/about-us/who-we-are ...ngtechnologies.com/data/surveillance-compliance/|name=Trade Surveillance & Compliance|org=Trading Technologies|date=August 8, 2019}}</ref>
    41 KB (5,439 words) - 11:47, 22 May 2020
  • Dale Spoljaric is managing director of compliance for the [[National Futures Association]]. ...ices Compliance at Barclays Capital Inc. where he led a team of compliance professionals covering futures, cleared swaps, and FX prime brokerage, in addition to pro
    2 KB (276 words) - 09:08, 13 May 2016
  • *The current process of regulating compliance with accounting and reporting standards ...tions to achieve an accounting result, and whether there is a hesitance by professionals to exercise professional judgment in the absence of detailed rules
    5 KB (679 words) - 06:07, 27 December 2011
  • ...a design phase, which ran through 2002 and involved more than one hundred professionals in the corporate, public, non-governmental and academic sectors, who worked ...s from those that make extraordinary cuts at low [[cost]]. While the first compliance year was 1995, trading started several years earlier. The first EPA auction
    14 KB (1,942 words) - 05:12, 28 July 2016
  • ...sales and marketing strategies for business growh of licensed derivatives professionals.
    4 KB (475 words) - 10:13, 20 June 2018
  • ...[[GARP|(GARP)]], as well as the [[Futures Industry Association]], Law and Compliance Division. ...ing [[Goldenberg, Hehmeyer & Co.|GHCO]], Gilmore was operations, risk, and compliance officer with [[First American Discount Corporation]], a [[Futures Commissio
    3 KB (430 words) - 10:25, 20 March 2017
  • ...financial services professional. She is a veteran [[futures]] [[market]] compliance, educator, marketing and communication specialist. She was a member of the Oatney was a compliance professional with [[PFGBest]] at the time of their bankruptcy.
    2 KB (289 words) - 15:27, 25 January 2016
  • ...ted information into the hands of compliance professionals. Podcasts cover compliance topics, updates and speeches. Those interested in hearing these audio repor ...ry 2008, Monthly Recap (10 min. 29 sec.) Revisit the latest FINRA Notices, compliance resources and news from January 2008.
    5 KB (706 words) - 13:55, 16 March 2015
  • ...ion range, region, and style. As of December 2012, SSgA has 440 investment professionals and 2350 employees, with offices in 16 countries across 5 continents.<ref>{ * Alyssa A Albertelli, Esq., Chief Compliance Officer
    3 KB (352 words) - 05:26, 19 April 2013
  • Members include the following industry professionals, representatives of futures exchanges and market participants: <ref> {{cite *[[William McCoy]], managing director and counsel, legal and compliance department, [[Morgan Stanley]]
    6 KB (769 words) - 14:12, 16 March 2015
  • ...al services business. According to Reuters, about 370,000 financial market professionals working in the equities, fixed income, foreign exchange, money, commodities '''For financial professionals'''<ref>{{cite web|name="Products-Financial Professionals”|url=http://about.reuters.com/productinfo/financial/
    14 KB (1,938 words) - 17:10, 13 January 2020
  • ...and evolved through order desk execution, marketing, research and trading, compliance, margins, and risk management. [[Category:Risk Management Professionals]]
    2 KB (278 words) - 11:09, 12 February 2015
  • ...ch operates out of the [[Price Group]] office. Professionals assist with [[compliance]], regulation and accounting requirements. Price is president of [[Fund Dyn
    7 KB (1,280 words) - 05:13, 28 July 2016
  • ...sted Company Compliance) regulate equities and options trading and listing compliance for the New York Stock Exchange, [[NYSE Arca]], and [[NYSE Alternext US]]. ...et integrity through "effective and efficient regulation and complementary compliance and technology-based services."
    10 KB (1,314 words) - 10:24, 7 September 2018
  • ...ing for the Company and its commodity pools, as well as for all regulatory compliance and performance reporting for the "Turtle" trader program which was develop ...iation Conference and as a faculty member for special courses on commodity compliance/back office procedures offered by IIT Chicago - Kent College of Law.
    4 KB (603 words) - 16:30, 25 January 2016
  • ...they are co-located. The funny thing is, I don’t think anyone besides IT professionals even knew what co-location meant. But now all of a sudden you hop around th ...went through different SEC compliance there’s going to be a lot of CFTC compliance.” It goes hand in hand with what happened in Europe, where they are in a
    26 KB (4,678 words) - 11:53, 18 April 2011
  • ...ces. The programs include sessions for business, operations and technology professionals, and traders. The exhibit hall showcases risk management products, trading 11:15 AM W11:15A FIA Law & Compliance presents Implementing Regulatory Reform <br>
    4 KB (597 words) - 06:31, 27 February 2013
  • ...the trend to continue in 2011. This year itself we have educated over 1100 professionals, and held financial workshops in schools covering 7000 students. We see our 1. Check with your target country’s regulator to ensure that you’re in compliance <br>
    9 KB (1,417 words) - 18:20, 31 January 2011
  • In September 2013, just before the October 2 compliance date for SEFs, [[MarketAxess]] completed the first live trade [[CDS]] trade ...The conference brings together regulators, legislators, lawyers, [[swaps]] professionals and other market participants to discuss key issues related to [[swap execu
    15 KB (2,106 words) - 13:05, 6 April 2018
  • ...ucational programs and online training that are used by financial industry professionals, [[investor]]s, U.S. and international [[regulator]]s, public-policy makers ...rticles designed to appeal to a high-level audience including [[exchange]] professionals, market practitioners, financial engineers and academics. The IFM also fun
    8 KB (1,111 words) - 08:46, 4 October 2017
  • Kansler manages Markit's legal and regulatory compliance matters, but is also involved in corporate strategy, regulatory and governm [[Category:Compliance Professionals]]
    2 KB (306 words) - 12:33, 9 January 2015
  • ...3}}</ref><ref>{{cite web|url=http://www.kattenlaw.com/allison-yacker/|name=Professionals in Focus|org=Katten Muchin Rosenman LLP|date=February 13, 2013}}</ref><ref> ...s with respect to state and federal registration issues and preparation of compliance policies and procedures manuals.
    5 KB (694 words) - 18:38, 1 February 2018
  • |job = General Counsel and Head of Compliance Ann M. Cresce is the general counsel and head of compliance for the [[Hong Kong Mercantile Exchange]].<ref>{{cite web|url=http://hk.lin
    3 KB (425 words) - 03:42, 28 July 2016
  • |job = General Counsel and Executive Vice President-Legal and Compliance ...eptember 2005 as general counsel and executive vice president of legal and compliance.<ref>{{cite web|url=https://www.campbell.com/_documents/Disclosure%20Docume
    4 KB (547 words) - 04:31, 22 June 2017
  • ...ts.<ref>{{cite web|url=http://www.kattenlaw.com/kenneth-m-rosenzweig/|name=Professionals in Focus|org=Katten Muchin Rosenman LLP|date=February 7, 2013}}</ref> ...of the Executive Committee of the [[FIA Law & Compliance Division|Law and Compliance Division]] of the [[Futures Industry Association]] and is a member of the B
    4 KB (570 words) - 16:23, 27 February 2015
  • |job = Chief Compliance and Regulatory Officer ...etail.aspx?NewsletterID=411|name=Direct Edge Hires Thomas McManus as Chief Compliance Officer|org=DirectEdge|date=February 11, 2013}}</ref><ref>{{cite web|url=ht
    3 KB (397 words) - 15:51, 12 February 2014
  • ...enman LLP]].<ref>{{cite web|url=http://www.kattenlaw.com/guy-dempsey/|name=Professionals in Focus|org=Katten Muchin Rosenman LLP|date=February 13, 2013}}</ref><ref> ...n types, as well as with the corporate governance, regulatory, collateral, compliance, insolvency and litigation issues associated with such products. He has bee
    4 KB (575 words) - 16:38, 22 January 2016
  • ...Operators_and_Commodity_Trading_Advisors CFTC Final Rule: Registration and Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors]</d ==Financial Professionals NOT Subject to Portfolio Requirement==
    4 KB (500 words) - 09:22, 6 May 2013
  • ...fund]]s, [[futures commission merchant]]s (FCMs) and other [[derivatives]] professionals.
    3 KB (371 words) - 17:05, 25 January 2016
  • ...ast few years. These changes have required OCC to aggressively ramp up its compliance, risk and systems departments. [[Category:Human Resources Professionals]]
    4 KB (599 words) - 06:38, 1 September 2017
  • |job = Global Head of Compliance ...ompliance%20appointment|name=TP ICAP appoints Amir Zaidi as Global Head of Compliance|org=Press Release|date=September 4, 2019}}</ref>
    4 KB (530 words) - 14:02, 4 September 2019
  • |job = Chief Compliance Officer ...cutive, former regulator and former options trader who serves as the chief compliance officer of [[Straits Financial LLC]].<ref>{{cite web|url=https://johnlothia
    3 KB (472 words) - 10:14, 29 May 2020

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