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STEP 2 – Implement a Compliance Program Download

STEP 1 – Designate a Chief Compliance Officer ... ComplianceMAX Guide to SEC Rule 206(4)-7 Compliance Author: Lisa Roth Created Date: 1/27/2006 5:29:39 PM ...

New SEC Rule: Compliance Programs and the Appointment of a Download

January 23, 2004 New SEC Rule: Compliance Programs and the Appointment of a Chief Compliance Officer for Investment Companies and Investment Advisers

The Advisors’ Inner Circle Fund CBRE Clarion Long/Short Fund Download

be obtained by calling 1-800-SEC-0330. A description of the policies and procedures that the Fund uses to determine how ... Chief Compliance Officer Fees ...

66944647 4 The Evolving Role of the Compliance Officer FIA Download

Chief Compliance Officer at a broker-dealer: such person “is a primary advisor to the member on ... compliance programs. According to the SEC, “Karp was aware of

U.S. Securities & Exchange Commission Compliance Outreach Download

U.S. Securities & Exchange Commission . Compliance Outreach Program . for Investment Adviser and Investment Company Senior Officers . National Seminar Agenda

Presentation for Compliance Outreach Program – National Download

SEC Standard Disclaimer The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any ... Chief Compliance Officer Obligations

Chief Compliance Officer - Clark Atlanta University Download

Clark Atlanta University _____ Compliance Office Lucille H. Maugé Chief Compliance Officer

Board Oversight of Fund Compliance - IDC Download

20 2. How Should the Chief Compliance Officer be Compensated?.....20 3. Who Pays the Chief Compliance Officer?

Martin’s Point Health Care Compliance Program Download

Insurance and other appropriate regulatory agencies within the timeframes ... as appropriate by the Chief Compliance Officer with the approval of the Chief Executive ...

Deposit Insurance Coverage - FDIC: Federal Deposit Download

Summary: The FDIC will conduct 15 free telephone seminars on deposit insurance coverage for bank officers and employees between March 20, ... Chief Compliance Officer

California Public Employees’ Retirement System Download

1 2010 Annual Report Table of Contents Annual Report of the Chief Compliance Officer California Public Employees’ Retirement System Year Ending December 31, 2010

Business Guidelines - Home | ING Financial Services Download

Anne Iezzi, Chief Compliance Officer ING Life Insurance and Annuity Company 4. For Distributor / Institutional use only. Not for public distribution.

Chief Risk Officers in the Mutual Fund Industry - ICI - Home Download

Chief Risk Officers in the Mutual Fund Industry: Who Are They and What Is Their Role Within the Organization? page 2 Chief Risk Officers in the Mutual Fund Industry ...

BUREAU CHIEF, INSURANCE COMPLIANCE CALIFORNIA STATE Download

BUREAU CHIEF, INSURANCE COMPLIANCE, DOI – EXAM CODE: 3IN11 BUREAU CHIEF, ... Supervising Insurance Compliance Officer, Department of Insurance. Or II

Note on the Appointment of a Compliance Officer Download

Appointment of a Compliance Officer to an Insurance Undertaking3 Background • Monitoring the implementation of compliance Since 2000 there has been a requirement that

2011 Medicare Compliance Plan - Health Net Download

Health Net’s Chief Compliance Officer has designated a Medicare Compliance ... Health Net is committed to reducing health insurance costs through the ...

Windsor Health Group Names New Chief Compliance Officer Download

New Chief Compliance Officer Atlanta and Nashville – March 22, ... Windsor Health GroupSM is an insurance holding company consisting of operating subsidiaries

Chief Compliance Offi cer Liability: Setting the Record Download

PRACTICAL COMPLIANCE & RISK MANAGEMENT FOR THE SECURITIES INDUSTRY • NOVEMBER–DECEMBER 2008 27 Chief Compliance Officer Liability: Setting the Record Straight

2013 Regulatory Compliance Exchange (2013) Download

2 Regulatory Compliance Exchange Compliance Executives Roundtable Thursday, March 21 Chief Compliance Officers and senior executives are invited to participate in the ...

Current challenges facing Chief Compliance Officers, Chief Download

Current challenges facing Chief Compliance Officers, Chief Legal Officers and Chief Risk Officers of insurance companies 3 Table of contents

2012 Attendees - RCE - Limra.com Download

John Hancock AVP, Life Insurance Chief Compliance Officer John Hancock Financial Services, Inc. Director of Customer Relations Keane Vice President

Compliance & Legal Sections Annual Meeting Download

Janice Innis-Thompson Senior Vice President & Chief Compliance Officer Teachers Insurance and Annuity Association of America New York, NY 7/20/2010 Page 5 of 13.

Professional Liability Insurance for the Ethics and Download

Professional Liability Insurance for the Ethics and Compliance Professional ... “Does the Chief Compliance Officer“finally adjudicated” to have committed a

CHIEF COMPLIANCE OFFICER LIABILITY: SETTING THE RECORD Download

CHIEF COMPLIANCE OFFICER LIABILITY: SETTING THE RECORD STRAIGHT March 2009 by Theodore J. Sawicki and Kerry K. Vatzakas1 Recent decisions imposing liability on ...

U.S. Department of Labor Office of Labor-Management Download

and bylaws relating to the removal of local labor organization officers guilty of serious ... Chief, Division of ... the Berkshire Hathaway Annual Shareholders ...

The Warren Buffett CEO. Secrets from the Berkshire Download

Secrets from the Berkshire Hathaway Managers ... those of Berkshire's chief executives, officers, and directors interviewed for this book, Berkshire insider

CIGNA CORPORATION FIRST QUARTER 2013 INVESTOR Download

CHIEF EXECUTIVE OFFICER ... compliance and detection of fraud and abuse; ... Berkshire Hathaway; ...

First Symetra National Life - Exam Report Download

... (“WMIG”) and Berkshire Hathaway Incorporated (“BHI”). ... Chief Compliance Officer Thomas D. Brooks Chief Actuary George C. Pagos Secretary

BERKSHIRE HATHAWAY ENERGY CODE OF BUSINESS CONDUCT Download

BERKSHIRE HATHAWAY ENERGY Code of Business Conduct 1 ... Chief Compliance Officer NV Energy, Inc. 6226 W. Sahara Ave. Las Vegas, NV 89146 USA (702) 402-5670 Greg Abel

Berkshire Hathaway: The Role of Trust in Governance Download

Berkshire Hathaway: ... “I regard myself as the chief risk officer at Berkshire. ... you just had more process and more compliance,
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