Sentences with phrase «personal trading compliance»

The Personal Trading Compliance Program requires designated employees to report to the Ethics office personal accounts capable of trading securities and to confirm the permissibility of a transaction prior to executing the transaction.

Conducted vendor search and evaluation of Personal Trade Compliance packages.

Not exact matches

The January 2018 resolution and settlement of VTech data breach enforcement actions by the Privacy Commissioner of Canada and the United States Federal Trade Commission provide important guidance for data security and compliance with personal information protection laws.

Baker & McKenzie - CIS, Limited's «accessible», «extremely knowledgeable team of great litigators» advises on legal compliance in human resources (HR) transactions, trade union matters and work safety issues, and has also handled a number of personal data protection matters.

Due to robust compliance procedures, coupled with the transparency that blockchain provides, officials now have greater insight into cryptocurrency users — their personal details, transfers, and trades — than they do of investors from any other financial market.

DigitalX's role will center on customer introduction, sharing of compliance procedures and recommendation around technology best practices and service providers BGL will be responsible for compliance, banking, trading software and custodianship of client assets and personal information.

Tags for this Online Resume: GIPS, FINRA, SEC, Policies and Procedures, Compliance, Investment Reporting, Strategic Planning, Personal Trading, Surveillance, Internal Controls, Process Improvements