Sentences with phrase «trade compliance at»

After seven years as principal in - house legal adviser for trade compliance at Thales USA, Inc., an aerospace and defense company, JOHN PISA - RELLI is joining Fried, Frank, Harris, Shriver & Jacobson.

Not exact matches

Stephen Innes, head of trading for Asia - Pacific at futures brokerage Oanda in Singapore said a «beaming economic forecast along with stout compliance from OPEC (to withhold production) is providing convincing support.»

The Monetary Authority of Singapore, which is the country's central bank, has no plans to ban cryptocurrency trading at the moment, though MAS does intend to eventually regulate digital asset exchanges and other entities to ensure AML / CFT compliance.

So far, the «compliance bill» is at $ 4,000 for Craig Kelman, owner of Kelman and Associates, a Winnipeg - based company that publishes trade magazines for non-profits across North America.

Also speaking on the panel, Simon Townsend, R&D director of Cloud Compliance at NICE Actimize, said that rolling up news analytics into trade surveillance adds significant understanding to what might be behind market movements.

The prosecution is based on 2006 revisions to Colombia's copyright laws aimed at bringing them into compliance with a free trade agreement with the United States.

The Fund's Chief Compliance Officer, or a Compliance Manager designated by the Chief Compliance Officer, may also grant exceptions to permit additional disclosure of Fund portfolio holdings information at differing times and with different lag times (the period from the date of the information to the date the information is made available), if any, in instances where the Fund has legitimate business purposes for doing so, it is in the best interests of shareholders, and the recipients are subject to a duty of confidentiality, including a duty not to trade on the nonpublic information and are required to execute an agreement to that effect.

He has argued that failed banks should not be bailed out, Lehman's collapse was not a disaster, AIG should be declared bankrupt, that naked short selling is not a problem, that backdating isn't so bad, insider trading should be legal, many corporate CEOs are underpaid, global solutions are worse than local solutions, Warren Buffett is overrated, Michael Milken is a great American, the collapse of the hedge fund was not a scandal, hedge funds are over-regulated, education is overrated by the educated, bonuses at successful Wall Street's firms are deserved and possibly undersized, management buyouts are boons to the economy, Enron's management was victimized by an over-zealous prosecution, Sarbanes - Oxley should be repealed, corporate compliance culture is a disaster, shareholder democracy is overrated, hostile takeovers ought to be revived, the market is permanently moving away from public ownership of equity in corporations, private partnerships are on the rise, public ignorance is encouraged and manipulated by governments and corporations, experts overrate expertise, regulatory agencies are controlled by the businesses they supposedly regulate and Wall Street is much more fun than people give it credit for.

Refusal to ratify the Kyoto Protocol means that when the negotiators sit down next year to begin discussions of the targets, compliance mechanism and rules for emissions trading to apply in the second commitment period, Australia will not have a seat at the table.

Literally, time is a major obstacle for states wanting to join existing carbon trading programs such as RGGI or California's cap - and - trade program as a compliance mechanism, according to state regulators speaking at the C2ES event.

On the compliance side, California's cap - and - trade program stands to add another 40 MtCO2e in demand for REDD + offsets through 2020, if state regulators open the market up to offsets from carbon projects located outside the U.S.. However, long - term plans hinge largely on policy at the national level in Brazil.

It's not just the territory of Russia, but its dealings with Russian banks, Russian multinationals,» says John Boscariol, head of the international trade and investment section at McCarthy Tétrault LLP, where he focuses on enforcement and compliance, anti-corruption laws, and economic sanctions.

Greta Lichtenbaum, a partner at O'Melveny & Myers whose practice includes international trade and regulatory compliance, answered questions about the impact on multinational companies of the Trump administration's renewed sanctions against Iran.

Adept at class and collective actions defense, the group represents clients in connection with employment law compliance, collective bargaining and NLRB proceedings, ADA public access, global workforce issues, immigration and non-compete and trade secret advice and litigation.

He was previously responsible for global legal affairs, regulatory compliance and human resources at the Newport Corporation, a publicly - traded company with approximately $ 600 million in sales and 2,400 employees prior to its acquisition by MKS Instruments, Inc..

Bruce Carton at Securities Docket recently explained the virtues of an insider trading compliance program for publicly - traded companies.

The draft regulations attracted a barrage of comments, with more than 50 trade and public interest organizations making their concerns known, most from critical businesses and industry associations bristling at the compliance burden they will impose.

Dr Laubert started his career at Daimler in 2004, where he first worked on several litigation cases involving human rights and insider trading, was involved in the investigations of violations of the US Foreign Corrupt Practices Act (FCPA) and the settlement negotiations with the relevant authorities, and also advised on many aspects of criminal law and compliance matters.

To sell smartphones at major U.S. carriers, phone makers are required to test phone batteries at one of the 28 labs certified by the U.S. wireless industry's trade group, the CTIA, to ensure compliance with standards set by the Institute of Electrical and Electronics Engineers.

Tokenbox, a comprehensive infrastructure solution designed to supply all the trading and compliance infrastructure needed to easily create new investment funds specializing in the fast - evolving cryptocurrency asset class, expects to raise the equivalent of $ 20 million at its Token Generation

Before joining Reed Smith, Larsen was General Counsel and Chief Compliance Officer at LedgerX, an institutional trading and clearing platform that is the first federally regulated Bitcoin options exchange and clearing house.

Having Crypto Traded Indices ™ on the Hedge Token Platform guarantees liquidity in times of stress, cost - effectiveness, security, compliance with KYC trading standards, and is as easy as email — all at your fingertips.

The statement also hints at the further scrutiny of cryptocurrency exchanges to protect investors, saying, «the SEC staff will continue to focus on platforms that offer trading of digital assets and their compliance with the federal securities laws.»

Landin also has extensive experience in background screening operations, as well as legal compliance, and is an active participant in the National Association of Professional Background Screeners (NAPBS), the background screening industry trade association, including a role in their lobbying efforts at the federal and state levels.

Operations Manager — Duties & Responsibilities Prepare complex technical standard operating procedures for organizational implementation Oversee organizational ethics and compliance training administration at facility level Develop and implement training to ensure workforce peak performance Perform safety management studies and approve / disapprove proposed procedures Administer employee appraisals and increase employee motivation and organizational citizenship Manage multi-million dollar air traffic control contracts Effectively lead culturally diverse workforce in domestic and international settings Develop and implement air traffic control flow procedures saving cliental thousands of dollars on a daily basis Serve as liaison with cliental customers and mediate solutions resulting in increased customer investments Develop and administer varied software solutions for clients including KPMG, USAF, and the Chicago Board of Trade Oversee software projects through the various facets of developmental lifecycle Develop software applications using Visual Basic and SQL Server increasing business operation efficiency Create safety management systems which track aircraft incidents and trends Network and manage numerous air traffic control systems decreasing system downtime Develop an employee management system increasing operational efficiency Represent company brand with poise, integrity, and positivity

Professional Experience ABC Debt Relief (City, ST) 12/2006 — 11/2011 Client Service Manager • Responsible for overseeing daily operations of a 35 Account Manager call center ensuring effective operations • Recruit and train new sales and customer service employees in industry best practices and company policies • Strictly enforce compliance with all applicable laws, industry regulations, and corporate protocols • Provide exceptional customer service and professional guidance in the area of debt management, credit, and bankruptcy • Maintain detailed monthly reports for management concerning budgets, monthly projections, and quarterly goals • Responsible for performance appraisals, deficiency warnings, and conflict resolution for employees • Review and manage all BBB and Attorney General complaints determining appropriate next steps • Monitor department productivity with inbound and outbound calls providing feedback to team leads and supervisors • Author and lead presentations at meetings for clients, employees, and senior management • Train team leads and supervisors in laws governing credit reporting and debt settlement such as (FDCPA) Fair Debt Collections Practices Act and the (FCRA) Fair Credit Reporting Act and (FTC) Federal Trade Commission regulations • Set and strictly enforce budget for the payroll of both salaried and hourly employees • Responsible for final approvals for payment refunds issued to the client • Assist with Debt Tracker and the Debt Manager and negotiate with creditors to reduce client

Skilled at handling compliance issues in direct / wholesale trade channels and domestic / international marketplaces.

Advertising activity of all terminated licence holders, including, but not limited to, for sale signs, online advertising and social media pages must be removed at the time their licence is terminated to ensure compliance with the Real Estate Trading Act and the Commission Bylaw.

941 DOS 04 DOS v. Pohlig - proper business practices; failure to appear at hearing; ex parte hearing may proceed upon proof of proper service; broker licensed under one trade name conducted business under another trade name; broker relocated his business without notifying DOS, which results in automatic suspension of license; license suspended until compliance with notice to DOS on change of address and $ 1,000.00 fine for conducting business under an unlicensed trade name