A multi-jurisdictional banking group needed their Operational Risk Framework (designed by their parent company) to be rolled out and training given n risk reporting.
Reducing regulatory capital by instigating risk management system and operati...Compliance Consultant
After assessing the risk management operation of a FTSE 100 company we soon identified that Operational Risk Management needed augmenting on their global risk framework. After 10 months work the savings were reflected in the reduction of regulatory capital requirements of over 18% (almost £100M).
Increasing your chances of success by engaging with a niche consultancyCompliance Consultant
Fortunately, there are more positive alternatives to using a smaller consultancy compared to the Accentures, McKinseys or the big accountancy firms like Deloitte, E&Y etc. We not only consider that size doesn’t matter, but large size can actually be a disadvantage in meeting your needs.
CEI Compliance is the UK's fastest growing risk & regulatory consultancy and provides associate opportunities to consultants and cost effective value to financial services and other regulated companies.
EDR Webinar
Presented by June Jewell, CPA, President AEC Business Solutions
November 18, 2015
Project Managers (PMs) are the key to a professional services firm’s success. Yet many firms promote technical people into roles they are not prepared or ready for. As a result, project profitability suffers and there is frustration at every level of the organization. By enabling project managers, through financial and systems training, automation, and accountability measures, the firm’s profit margins can increase substantially.
In this webinar, attendees will be able to:
-Evaluate the challenges that cause many Project Managers to struggle with project profitability
-Understand the reasons that projects go over budget
-Review the financial aspects of project management that Project Managers need to know to be successful
-Learn how technology can help Project Managers deliver more profitable projects
-Develop some best practices to help Project Managers succeed
Speaker
June R. Jewell, CPA, President AEC Business Solutions
Jewell, a thought leader and expert in AEC firm profitability, has more than 28 years of business management consulting experience, and unsurpassed knowledge of the AEC industry. In addition to this role, she is the original founder and current strategic advisor of Acuity Business Solutions, a Deltek Premier Partner and consulting firm that works with AEC firms to support business profitability through web-based enterprise management technology.
She is the Amazon best-selling author of the book “Find The Lost Dollars: 6 Steps to Increase Profits in Architecture, Engineering and Environmental Firms.” Jewell has built and run a successful consulting practice, and is a highly sought after speaker at industry events and conferences. Her past speaking engagements include AIA, ACEC, SMPS, Design and Construction Network (DCN), Society for Design Administration (SDA), Zweig Group (formerly ZweigWhite), PSMJ, ROG Growth and Ownership Conference, Project Management Institute (PMI), Deltek Insight and Business of Architecture (BOA).
Next Generation Approaches: Why Smart Buyers should Abandon the Traditional A...EightyTwenty Insight
The traditional approach to sourcing, involving only a cursory look at the overall strategy before diving into the transaction (build or buy), is now being recognised as not being ‘fit-for-purpose’. This presentation looks at the new drivers for change, and provides some tips on how to move forward.
For more information, please go to www.8020i.co.uk .
Reducing regulatory capital by instigating risk management system and operati...Compliance Consultant
After assessing the risk management operation of a FTSE 100 company we soon identified that Operational Risk Management needed augmenting on their global risk framework. After 10 months work the savings were reflected in the reduction of regulatory capital requirements of over 18% (almost £100M).
Increasing your chances of success by engaging with a niche consultancyCompliance Consultant
Fortunately, there are more positive alternatives to using a smaller consultancy compared to the Accentures, McKinseys or the big accountancy firms like Deloitte, E&Y etc. We not only consider that size doesn’t matter, but large size can actually be a disadvantage in meeting your needs.
CEI Compliance is the UK's fastest growing risk & regulatory consultancy and provides associate opportunities to consultants and cost effective value to financial services and other regulated companies.
EDR Webinar
Presented by June Jewell, CPA, President AEC Business Solutions
November 18, 2015
Project Managers (PMs) are the key to a professional services firm’s success. Yet many firms promote technical people into roles they are not prepared or ready for. As a result, project profitability suffers and there is frustration at every level of the organization. By enabling project managers, through financial and systems training, automation, and accountability measures, the firm’s profit margins can increase substantially.
In this webinar, attendees will be able to:
-Evaluate the challenges that cause many Project Managers to struggle with project profitability
-Understand the reasons that projects go over budget
-Review the financial aspects of project management that Project Managers need to know to be successful
-Learn how technology can help Project Managers deliver more profitable projects
-Develop some best practices to help Project Managers succeed
Speaker
June R. Jewell, CPA, President AEC Business Solutions
Jewell, a thought leader and expert in AEC firm profitability, has more than 28 years of business management consulting experience, and unsurpassed knowledge of the AEC industry. In addition to this role, she is the original founder and current strategic advisor of Acuity Business Solutions, a Deltek Premier Partner and consulting firm that works with AEC firms to support business profitability through web-based enterprise management technology.
She is the Amazon best-selling author of the book “Find The Lost Dollars: 6 Steps to Increase Profits in Architecture, Engineering and Environmental Firms.” Jewell has built and run a successful consulting practice, and is a highly sought after speaker at industry events and conferences. Her past speaking engagements include AIA, ACEC, SMPS, Design and Construction Network (DCN), Society for Design Administration (SDA), Zweig Group (formerly ZweigWhite), PSMJ, ROG Growth and Ownership Conference, Project Management Institute (PMI), Deltek Insight and Business of Architecture (BOA).
Next Generation Approaches: Why Smart Buyers should Abandon the Traditional A...EightyTwenty Insight
The traditional approach to sourcing, involving only a cursory look at the overall strategy before diving into the transaction (build or buy), is now being recognised as not being ‘fit-for-purpose’. This presentation looks at the new drivers for change, and provides some tips on how to move forward.
For more information, please go to www.8020i.co.uk .
Marketing analytics tools helps you to evaluate your business objectives, and analyzing the marketing environment factors that have an impact on the organization.
Business Case Pratictioners Forum: Business case - an overview, Stefan Sanchez, 22 April 2016
APM Benefits Management SIG
The APM Competence Framework describes the Business Case competence as “The ability to prepare, gain approval of, refine and update business cases that justify the initiation and/or continuation of change initiatives in terms of benefits, costs and risks.”
It further provides information regarding the application and knowledge such as; strategic arguments, options appraisal, benefits and dis-benefits, commercial aspects, risk, time scales and whole-life costs.
Those who work in the public sector will be familiar with the HM Treasury Green Book: appraisal and evaluation in central government and the Five Case model.
Business cases should be understood as both as a product and a process, with involvement from the right stakeholders in order to achieve the spending objectives and deliver benefits.
The inaugural Business Case Practitioners Forum (BCPF) brought together practitioners
-To share business-case related knowledge, experience and good practice drawn from the public, private and third sectors
-To support members to improve standards and consistency business cases
-To create a supportive and professional network of business case practitioners
-To develop a business case practitioner ‘body of knowledge’
Business Case Pratictioners Forum: I mark the homewor, Kevin Briggs, 22 April 2016
APM Benefits Management SIG
The APM Competence Framework describes the Business Case competence as “The ability to prepare, gain approval of, refine and update business cases that justify the initiation and/or continuation of change initiatives in terms of benefits, costs and risks.”
It further provides information regarding the application and knowledge such as; strategic arguments, options appraisal, benefits and dis-benefits, commercial aspects, risk, time scales and whole-life costs.
Those who work in the public sector will be familiar with the HM Treasury Green Book: appraisal and evaluation in central government and the Five Case model.
Business cases should be understood as both as a product and a process, with involvement from the right stakeholders in order to achieve the spending objectives and deliver benefits.
The inaugural Business Case Practitioners Forum (BCPF) brought together practitioners
-To share business-case related knowledge, experience and good practice drawn from the public, private and third sectors
-To support members to improve standards and consistency business cases
-To create a supportive and professional network of business case practitioners
-To develop a business case practitioner ‘body of knowledge’
AEREN Debt Recovery Professional offers a full range of B2B (Business to Business) Debt Collection Service from Manufacturing to Distribution to Retail and Services Sector. In other words, we cover Manufacturing, Business, Trade, Information and Technology, BPO, Financial, Real-Estate, Software, Marketing, Distribution, Licensing Agency and others. We cover all type of Business entity like Sole Proprietorship, Partnership, Limited Liability Company.
Vendor Management Best Practices: Is Your Program Up to Par?EDR
Vendor Management Best Practices: Is Your Program Up to Par?
Webinar presented by Scott Roller, former head of vendor management at Citigroup
August 12, 2015
Among the top challenges lenders face today is the need to meet higher expectations set by the OCC and the Federal Reserve governing the use of third-party vendors. While the guidelines were released over a year ago, there is still confusion about what institutions should be doing.
One thing, however, is certain. Effective vendor management takes resources, and many institutions are finding it necessary to add staff and/or technology to help with the cause, particularly smaller institutions. The regulators have made it clear, vendor management is not just a one-time assessment, but is an ongoing process, and monitoring vendors long term is as important as the initial due diligence.
EDR is pleased to host a webinar on this timely topic on Wednesday, August 12, 2015 at 2:00 p.m. EST. Scott Roller, former head of vendor management at Citigroup, will provide clarity on the new regulations and help break down regulator expectations into easy-to-understand terms. Roller will explore key dimensions that attendees can use as the foundation for building out their own robust vendor management oversight program, from initial vendor risk classification all the way through ensuring adequate executive engagement in vendor management.
Attendees will learn best practices for satisfying regulators with this educational workshop, including answers to the following:
• What does the latest regulatory guidance on vendor management require?
• What are the biggest headaches banks are facing in complying with them?
• What advice is recommended for smaller banks struggling with limited manpower/resources?
• What are bank examiners looking for during audits?
• What are the latest best practices for policies and procedures?
• How are banks coping with the need to track and monitor vendors?
• What are the most common shortcomings that audits reveal?
Communication between client and supplier is a key to successful vendor management. Getting things done in the respect with legal, cultural and team location constraints has proven to be challenging. From the perspective of the client, let’s see: how to create definition of done, how to obtain team buy-in and how to empower the supplier team. On the other side, from the supplier point of view we will address: what to ask from the client, what to give to the client and how to communicate with the client during the development.
How to create the bond between client and vendor that will bring the success in the uncertain world of software development?
Communication between client and supplier is a key to successful vendor management. Getting things done in the respect with legal, cultural, resource and location constraints has proven to be challenging. From the perspective of the client, let’s see how to use Agile and create definition of done, obtain team buy-in and how to empower the supplier team. On the other side, from the supplier point of view, let’s see what to give to provide to the client and how to communicate with during the development.
APM Benefits Summit 2017 : Realising benefits in a changing world
Value and benefits: Optimising benefits when affordability is an issue workshop
by Steve Parker, GHD and APM Value Management
22 June 2017
It gives me immense pleasure to introduce our firm “Riskpro” founded in 2009- a specialized risk management consulting by our Founders who are qualified risk specialists with diverse work experience in India, Middle East, Europe & US across industries & FI’s.
In continuation of our fast growing presence and business trajectory, I would like to welcome you and share towards launch of RiskPro Insurance Risk advisory Services which is an addition to our existing bouquet of Risk advisory , Consulting, Training & Human Capital Services to corporates across India currently being serviced through our multi location delivery locations in major metros with total presence in 11 Indian cities network already. Our dedicated experts team who are qualified seasoned professionals in Insurance industry across diverse business domains with right blend of optimal solutions for high performance business results.
Marketing analytics tools helps you to evaluate your business objectives, and analyzing the marketing environment factors that have an impact on the organization.
Business Case Pratictioners Forum: Business case - an overview, Stefan Sanchez, 22 April 2016
APM Benefits Management SIG
The APM Competence Framework describes the Business Case competence as “The ability to prepare, gain approval of, refine and update business cases that justify the initiation and/or continuation of change initiatives in terms of benefits, costs and risks.”
It further provides information regarding the application and knowledge such as; strategic arguments, options appraisal, benefits and dis-benefits, commercial aspects, risk, time scales and whole-life costs.
Those who work in the public sector will be familiar with the HM Treasury Green Book: appraisal and evaluation in central government and the Five Case model.
Business cases should be understood as both as a product and a process, with involvement from the right stakeholders in order to achieve the spending objectives and deliver benefits.
The inaugural Business Case Practitioners Forum (BCPF) brought together practitioners
-To share business-case related knowledge, experience and good practice drawn from the public, private and third sectors
-To support members to improve standards and consistency business cases
-To create a supportive and professional network of business case practitioners
-To develop a business case practitioner ‘body of knowledge’
Business Case Pratictioners Forum: I mark the homewor, Kevin Briggs, 22 April 2016
APM Benefits Management SIG
The APM Competence Framework describes the Business Case competence as “The ability to prepare, gain approval of, refine and update business cases that justify the initiation and/or continuation of change initiatives in terms of benefits, costs and risks.”
It further provides information regarding the application and knowledge such as; strategic arguments, options appraisal, benefits and dis-benefits, commercial aspects, risk, time scales and whole-life costs.
Those who work in the public sector will be familiar with the HM Treasury Green Book: appraisal and evaluation in central government and the Five Case model.
Business cases should be understood as both as a product and a process, with involvement from the right stakeholders in order to achieve the spending objectives and deliver benefits.
The inaugural Business Case Practitioners Forum (BCPF) brought together practitioners
-To share business-case related knowledge, experience and good practice drawn from the public, private and third sectors
-To support members to improve standards and consistency business cases
-To create a supportive and professional network of business case practitioners
-To develop a business case practitioner ‘body of knowledge’
AEREN Debt Recovery Professional offers a full range of B2B (Business to Business) Debt Collection Service from Manufacturing to Distribution to Retail and Services Sector. In other words, we cover Manufacturing, Business, Trade, Information and Technology, BPO, Financial, Real-Estate, Software, Marketing, Distribution, Licensing Agency and others. We cover all type of Business entity like Sole Proprietorship, Partnership, Limited Liability Company.
Vendor Management Best Practices: Is Your Program Up to Par?EDR
Vendor Management Best Practices: Is Your Program Up to Par?
Webinar presented by Scott Roller, former head of vendor management at Citigroup
August 12, 2015
Among the top challenges lenders face today is the need to meet higher expectations set by the OCC and the Federal Reserve governing the use of third-party vendors. While the guidelines were released over a year ago, there is still confusion about what institutions should be doing.
One thing, however, is certain. Effective vendor management takes resources, and many institutions are finding it necessary to add staff and/or technology to help with the cause, particularly smaller institutions. The regulators have made it clear, vendor management is not just a one-time assessment, but is an ongoing process, and monitoring vendors long term is as important as the initial due diligence.
EDR is pleased to host a webinar on this timely topic on Wednesday, August 12, 2015 at 2:00 p.m. EST. Scott Roller, former head of vendor management at Citigroup, will provide clarity on the new regulations and help break down regulator expectations into easy-to-understand terms. Roller will explore key dimensions that attendees can use as the foundation for building out their own robust vendor management oversight program, from initial vendor risk classification all the way through ensuring adequate executive engagement in vendor management.
Attendees will learn best practices for satisfying regulators with this educational workshop, including answers to the following:
• What does the latest regulatory guidance on vendor management require?
• What are the biggest headaches banks are facing in complying with them?
• What advice is recommended for smaller banks struggling with limited manpower/resources?
• What are bank examiners looking for during audits?
• What are the latest best practices for policies and procedures?
• How are banks coping with the need to track and monitor vendors?
• What are the most common shortcomings that audits reveal?
Communication between client and supplier is a key to successful vendor management. Getting things done in the respect with legal, cultural and team location constraints has proven to be challenging. From the perspective of the client, let’s see: how to create definition of done, how to obtain team buy-in and how to empower the supplier team. On the other side, from the supplier point of view we will address: what to ask from the client, what to give to the client and how to communicate with the client during the development.
How to create the bond between client and vendor that will bring the success in the uncertain world of software development?
Communication between client and supplier is a key to successful vendor management. Getting things done in the respect with legal, cultural, resource and location constraints has proven to be challenging. From the perspective of the client, let’s see how to use Agile and create definition of done, obtain team buy-in and how to empower the supplier team. On the other side, from the supplier point of view, let’s see what to give to provide to the client and how to communicate with during the development.
APM Benefits Summit 2017 : Realising benefits in a changing world
Value and benefits: Optimising benefits when affordability is an issue workshop
by Steve Parker, GHD and APM Value Management
22 June 2017
It gives me immense pleasure to introduce our firm “Riskpro” founded in 2009- a specialized risk management consulting by our Founders who are qualified risk specialists with diverse work experience in India, Middle East, Europe & US across industries & FI’s.
In continuation of our fast growing presence and business trajectory, I would like to welcome you and share towards launch of RiskPro Insurance Risk advisory Services which is an addition to our existing bouquet of Risk advisory , Consulting, Training & Human Capital Services to corporates across India currently being serviced through our multi location delivery locations in major metros with total presence in 11 Indian cities network already. Our dedicated experts team who are qualified seasoned professionals in Insurance industry across diverse business domains with right blend of optimal solutions for high performance business results.
[ I B M] Ibm Banking Overview Final Version For F T UEcom Ftu
Do ông Aaron Axworthy trình bày tại hội thảo "TMĐT-Cơ hội nghề nghiệp trong tầm tay"
Giám đốc mảng dịch vụ tài chính tại 3 nước Vietnam, Laos và Campuchia.
Core Banking Transformation: Solutions to Standardize Processes and Cut CostsIBM Banking
IBM Banking Industry Framework for Core Banking Transformation (CBTF) has many assets, tools, methods and accelerators to help banks standardize and link core processes seamlessly and reduce point-to-point interfaces to cut cost and complexity.
Organizational Chart Templates by CreatelyCreately
Creately offers wide variety of organizational charts templates you can use right away to draw org charts. Click on use now to edit these templates for FREE!
Management consultant toolkit in Powerpoint & Excel created by ex-Deloitte & McKinsey Consultants. Huge time saver.
Download the toolkit at www.slidebooks.com
Mysql ir populārākā atvērta koda datubāze un tajā ir vairāk nekā 400 parametri, bet nepieciešams uzstādīt /izmainīt tikai dažus no tiem, lai jūs nesaskartos ar problēmām jau pirmajā dienā. Šajā prezentācijā stāstīšu par parametriem, kuri ietekme datu drošību, datu atjaunošanu un datu konsistenci.
With Wyborcza, one of the biggest newspapers in Poland, a supplement issued special for Polish consumers, explaining facts and information about Turkish Citrus
Regulatory Affairs Outsourcing Considerations and ModelsPaul Kuiken
I present a number of issues which are being considered by all organisations in the healthcare, pharmaceutical, biotechnology, and clinical sectors. I presented this to an audience at an outsourcing summit and have tailored this to a more general audience.
I am happy to receive your comments and provide your insights to whether you agree or not with my points or to hear from you regarding your experiences of outsourcing in whatever sector you are interested in.
Strong business processes are crucial for organizations to run their business effectively. Having good processes help organizations reduce their dependency on individuals. Good processes also help companies to scale up their operations and to be equipped to take on emerging market opportunities.
Keep calm and carry on – How to run a data migration in the middle of lockdown webinar
Tuesday 20 October 2020
presented by
Andy O'Dell
The link to the write up page and resources of this webinar:
https://www.apm.org.uk/news/keep-calm-and-carry-on-how-to-run-a-data-migration-in-the-middle-of-lockdown-webinar/
ASC 606: Accounting for Contracts with Customers, transforms the way all companies recognize revenue for the sale of goods and services. The implementation of the new standard impacts processes, people and systems for all sectors of the organization from the accounting and finance team to legal and human resources.
Justine Jacob, Senior Manager and Jordan Scheiderer, Director from MorganFranklin Consulting, have spent the last three years assisting public and private companies assess and implement ASC 606 and transform their revenue recognition processes. In this webinar they'll discuss the new standard, share lessons learned from previous implementations and identify the key areas of impact throughout the organization.
Audit Scenario Based Interview Questions.pdfinfosecTrain
To help you be ready for success, here is a compilation of important questions: In order to demonstrate your knowledge and assurance in an audit scenario-based interview, keep in mind that preparation is essential.
Here's a roundup of crucial questions to prepare you for success: Remember, preparation is key to showcasing your expertise and confidence during an audit scenario-based interview.
Resource Management Maturity - Does Your Resource Management Practice Work Fo...Unanet
How mature is YOUR resource management practice?
Only 25% of respondents in our most recent GAUGE survey said they have reached a “Very Mature” level of resource management practice.
This means that the vast majority of firms just like yours have a lot of improvements that can be made.
Download the slides to take a look at how Nalas transformed their resource management practice.This is a great presentation, no matter if you think you are managing your resources really well, or if you could make some improvements.
You will learn:
*Where you fall on the resource management maturity scale (level 1-5)
*What a practical deployment of an enterprise resource management practice looks like from Nalas
*How you can move up the maturity scale
To learn more, visit www.unanet.com
Social Media, or website, one of the biggest questions people always ask is, to get onto Google page 1, or to get a good google ranking, what is the ideal length of things online. As things vary from URLs to blog posts, podacasts to videos the only answer is quite simply everything online should be long enough to convey the message and no longer. Social media posts are awash with way too much information and websites go overboard with cramming too much in, making for poor SEO and bad experiences, therefore not converting. Too much and it looks cheap. Too little and it doesn't raise interest. More details are at http://letstalksocialmedia.co
Most Employees Consider Their Private And Work Lives To Be Totally Separate, But Social Media and Social Networking Has Silently And Effectively Bridged That Gap And Blurred That Distinction.
No matter how “separate” a person’s social accounts may seem to be, there will ultimately be someone, somewhere that will link-up that person to your organisation or firm.
Social Media Policy Template http://wp.me/p4RKCt-5P
Risk Mitigation, when applied properly and effectively, will keep the likelihood of a S166 Skilled Person's Report ever being issued against your firm. Yet so often we see reports in "Final Notices" from the FCA that people risk and compliance managers didn't "understand" or "appreciate" the levels of risk they were courting, or they failed to properly notify the board of the issues and tried to stick their heads in the sand. A S166 is a costly business, and not only in the money charged by the Skilled Person, but also in management time, resources, staff liaison and assistance, printing, extra committee meetings, the list goes on.
Then there comes the Risk Mitigation Programme (RMP) that the regulator creates for the firm, a bespoke program to get things right. This, if not managed properly (and they often are not) can result in changes forced into the business but not understood by anyone; no culture change, and things reverting to normal within months after the completion.
To manage a S166 or RMP requires a project manager that fully understands not only the process, but also the inferences and interpretation of the regulators statements - to act on the spirit as well as the letter, and advise you accordingly.
Alex is a Compliance Director who has a number of issues. He finds an affordable, professional and discrete answer to his regulatory problems with a niche consultant, Compliance Consultant (tel 020 7097 1434)
The UK Regulators (FCA/PRA) are introducing a revised Senior Manager's Regime, taking over from the existing Approved Person's regime in June 2015. This gives you a high level overview and next steps to take to ensure your firm is ready.
Conduct Risk. Assessing risk and identifying cultural drivers for clear defin...Compliance Consultant
Conduct Risk is sweeping the financial services world and catching many risk manager out as there is still a lack of understanding.
Our Compliance Manual is available at http://bit.ly/ComplianceManualTemplate
Risk management need to determine the corporate risk philosophy and appetite. To assess or understand the risk philosophy, try to comprehend the organisation's culture, values and environment. The way business operations are conducted on a daily basis and the organisation’s strategy are typically good indicators where you can find the company risk philosophy. Assess whether business has an aggressive, innovative, typical or conservative attitude towards risks for achieving business goals.
Risk appetite is simply the amount of risk which the organisation is willing to take to undertake business activities and achieve the business objectives, where Conduct Risk is concerned this has to include good customer outcomes. A simple question to ask the board of members could be “What amount of reported mismanagement or public uproar would make you uncomfortable if it appeared in the business newspapers?”
Consolidate the various risk exposures from the risk department's identified risks and present them to the board. Finally, assess whether the company’s internal perception and rhetoric on risk philosophy and appetite are consistent with the board and other stakeholder's viewpoints. Realign the two where required to prepare the annual strategy.
Build Your Framework.
Setting Conduct Risk Appetite. Assessing risk and identifying cultural driver...Compliance Consultant
Conduct Risk is sweeping the financial services world and catching many risk manager out as there is still a lack of understanding.
Risk management need to determine the corporate risk philosophy and appetite. To assess or understand the risk philosophy, try to comprehend the organisation's culture, values and environment. The way business operations are conducted on a daily basis and the organisation’s strategy are typically good indicators where you can find the company risk philosophy. Assess whether business has an aggressive, innovative, typical or conservative attitude towards risks for achieving business goals.
Risk appetite is simply the amount of risk which the organisation is willing to take to undertake business activities and achieve the business objectives, where Conduct Risk is concerned this has to include good customer outcomes. A simple question to ask the board of members could be “What amount of reported mismanagement or public uproar would make you uncomfortable if it appeared in the business newspapers?”
Consolidate the various risk exposures from the risk department's identified risks and present them to the board. Finally, assess whether the company’s internal perception and rhetoric on risk philosophy and appetite are consistent with the board and other stakeholder's viewpoints. Realign the two where required to prepare the annual strategy.
The FSA published CP12/2 in January 2012setting out some of its proposals for changes to the considerable and substantive content of the Listing Rules; Prospectus Rules; and Disclosure Rules and Transparency Rules which it identified as being necessary for change to ensure that the operational effectiveness of the Listing Regime is maintained. The changes sought to ensure that the Rules properly reflect recent changes in contemporary market practices and so would allow the UK Listing Authority (UKLA) to continue to meet its objectives.
This consultation paper raised some wider issues concerning the nature of the premium listing standard and undertook, dependant upon responses, consideration to developing specific options or proposals for discussion in a further paper.
The Financial Services Authority (FSA) issue Final Notices whenever they have disciplined or censured a firm or individual for whatever reason.
In November 2012 the FSA imposed a £10.5 million fine on Card Protection Plan Limited (CPP) for the mis-selling of insurance products.
Whilst the details are interesting and obviously relevant to the company’s either ignorance or arrogance, the end result was due to a failure of the FSA Principles, a list of 11 time forged values that firms, even today still breach fairly consistently, and always at their cost.
The Financial Services Authority (FSA) issue Final Notices whenever they have disciplined or censured a firm or individual for whatever reason.
The Principles are;
Integrity: A firm must conduct its business with integrity.
Skill, care and diligence: A firm must conduct its business with due skill, care and diligence.
Management and control: A firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems.
Financial prudence: A firm must maintain adequate financial resources.
Market conduct: A firm must observe proper standards of market conduct.
Customers' interest: A firm must pay due regard to the interests of its customers and treat them fairly.
Communications with clients: A firm must pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, fair and not misleading.
Conflicts of interest: A firm must manage conflicts of interest fairly, both between itself and its customers and between a customer and another client.
Customers: relationships of trust: A firm must take reasonable care to ensure the suitability of its advice and discretionary decisions for any customer who is entitled to rely upon its judgment.
Clients' assets: A firm must arrange adequate protection for clients' assets when it is responsible for them.
Relations with regulators: A firm must deal with its regulators in an open and cooperative way, and must disclose to the FSA appropriately anything relating to the firm of which the FSA would reasonably expect notice.
The cost of complying with the regulations may seem expensive
and some even see it as a lost cost,
however, if you fail to run your business compliantly due to ignorance, arrogance or some other reason be it personal, cultural or even political;
make sure you have plenty of spare cash in your savings account.
Cp1230 FSA consultation paper summary: complaints against the regulatorsCompliance Consultant
This will be of interest to all firms and individuals that will come under the new UK regulators as regulated, registered or authorised.
Background
The FSA are currently required to make arrangements for the “investigation of complaints arising in connection with the exercise of, or failure to exercise, any of its functions (other than its legislative functions)” under the Financial Services and Markets Act 2000 (FSMA).
The latest version of the Financial Services Bill requires the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA), and the Bank of England to establish how they will investigate complaints against themselves.
The Bank of England and the Financial Services Authority (FSA) jointly published a 34-page Consultation Paper (CP) 12/30 entitled ‘Complaints against the regulators – (The Bank of England, Financial Conduct Authority and Prudential Regulation Authority)’, on 6 November 2012.
UCIS is an acronym for Unregulated Collective Investment Schemes and the term unregulated can lead to confusion with inexperienced investment advisers as well as clients.
Many perfectly normal and commonly understood Collective Investment Schemes (CIS) are sold to investors throughout the UK. These CIS are regulated and are authorised by the Financial Services Authority (FSA) or they may also be non-UK CIS that are recognised by the FSA. The official term of recognition enables overseas CIS to be marketed to the public in the UK and the FSA will only recognise an overseas scheme if certain specified criteria are met.
CIS are a type of pooled investment. This is an arrangement that enables a number of investors to 'pool' their assets and have these managed by an independent professional, such as a fund manager who will reduce risk by investing the pooled money in one or more types of asset. Most investment ‘funds’ are collective investment schemes.
Investments are often in gilts, bonds and quoted equities, but depending on the type of scheme can go further, such as into unquoted shares or property.
UK Financial Services are regularly visited by the FSA. The visit will include random interviews with fairly deep questions asked that, when taken as a whole, if they don't add up, will require further regulatory scrutiny.
We help companies prepare for these visits and explain what the FSA are looking for, how best to respond and how to keep up your end in a very intimidating process.
CEI Compliance is the UK's fastest growing regulatory consultancy and provides associate opportunities to consultants and cost effective value to financial services and other regulated companies.
For Professional Services Firms the rules of strategy setting are different. Without knowing the differences instantly sets your firm into a dilemma and causes untold damage to turnover and growth as well as individual partner/director career development.
UK Financial Services advertising rules for regulated firms can be a challenge. In this paper we discuss the use of social media and the traps to be aware of, making sure the rules are covered.
The FSA TCF initiative has been with the UK financial services world for many years and there are still areas that firms are missing about the whole idea. This guide helps identify the myths and provide sound steps and ideas for any firm to adopt and use in their strategy.
A Tale of Two Situations - Recovery & Resolution Planning - UK FSACompliance Consultant
Following the demise of some of the most prestigious financial institutions in recent history, due to the recent financial crisis, issues concerning the recovery and resolution of banks and other significant financial institutions in the UK have been highlighted. Due to the enormous cost, both financial and reputational, of the increased need for public money to be used to support the largest “too big to fail” banks and others, the UK authorities have decided that they need to have better control over any possible future institution that falls upon hard times.
Recovery & Resolution plans need a great deal of work in setting them up and there are greater implications by having them, requiring careful management.
Call 0800 689 9 689 to arrange an initial discussion.
Business Valuation Principles for EntrepreneursBen Wann
This insightful presentation is designed to equip entrepreneurs with the essential knowledge and tools needed to accurately value their businesses. Understanding business valuation is crucial for making informed decisions, whether you're seeking investment, planning to sell, or simply want to gauge your company's worth.
LA HUG - Video Testimonials with Chynna Morgan - June 2024Lital Barkan
Have you ever heard that user-generated content or video testimonials can take your brand to the next level? We will explore how you can effectively use video testimonials to leverage and boost your sales, content strategy, and increase your CRM data.🤯
We will dig deeper into:
1. How to capture video testimonials that convert from your audience 🎥
2. How to leverage your testimonials to boost your sales 💲
3. How you can capture more CRM data to understand your audience better through video testimonials. 📊
Buy Verified PayPal Account | Buy Google 5 Star Reviewsusawebmarket
Buy Verified PayPal Account
Looking to buy verified PayPal accounts? Discover 7 expert tips for safely purchasing a verified PayPal account in 2024. Ensure security and reliability for your transactions.
PayPal Services Features-
🟢 Email Access
🟢 Bank Added
🟢 Card Verified
🟢 Full SSN Provided
🟢 Phone Number Access
🟢 Driving License Copy
🟢 Fasted Delivery
Client Satisfaction is Our First priority. Our services is very appropriate to buy. We assume that the first-rate way to purchase our offerings is to order on the website. If you have any worry in our cooperation usually You can order us on Skype or Telegram.
24/7 Hours Reply/Please Contact
usawebmarketEmail: support@usawebmarket.com
Skype: usawebmarket
Telegram: @usawebmarket
WhatsApp: +1(218) 203-5951
USA WEB MARKET is the Best Verified PayPal, Payoneer, Cash App, Skrill, Neteller, Stripe Account and SEO, SMM Service provider.100%Satisfection granted.100% replacement Granted.
What are the main advantages of using HR recruiter services.pdfHumanResourceDimensi1
HR recruiter services offer top talents to companies according to their specific needs. They handle all recruitment tasks from job posting to onboarding and help companies concentrate on their business growth. With their expertise and years of experience, they streamline the hiring process and save time and resources for the company.
RMD24 | Retail media: hoe zet je dit in als je geen AH of Unilever bent? Heid...BBPMedia1
Grote partijen zijn al een tijdje onderweg met retail media. Ondertussen worden in dit domein ook de kansen zichtbaar voor andere spelers in de markt. Maar met die kansen ontstaan ook vragen: Zelf retail media worden of erop adverteren? In welke fase van de funnel past het en hoe integreer je het in een mediaplan? Wat is nu precies het verschil met marketplaces en Programmatic ads? In dit half uur beslechten we de dilemma's en krijg je antwoorden op wanneer het voor jou tijd is om de volgende stap te zetten.
Improving profitability for small businessBen Wann
In this comprehensive presentation, we will explore strategies and practical tips for enhancing profitability in small businesses. Tailored to meet the unique challenges faced by small enterprises, this session covers various aspects that directly impact the bottom line. Attendees will learn how to optimize operational efficiency, manage expenses, and increase revenue through innovative marketing and customer engagement techniques.
Personal Brand Statement:
As an Army veteran dedicated to lifelong learning, I bring a disciplined, strategic mindset to my pursuits. I am constantly expanding my knowledge to innovate and lead effectively. My journey is driven by a commitment to excellence, and to make a meaningful impact in the world.
Falcon stands out as a top-tier P2P Invoice Discounting platform in India, bridging esteemed blue-chip companies and eager investors. Our goal is to transform the investment landscape in India by establishing a comprehensive destination for borrowers and investors with diverse profiles and needs, all while minimizing risk. What sets Falcon apart is the elimination of intermediaries such as commercial banks and depository institutions, allowing investors to enjoy higher yields.
"𝑩𝑬𝑮𝑼𝑵 𝑾𝑰𝑻𝑯 𝑻𝑱 𝑰𝑺 𝑯𝑨𝑳𝑭 𝑫𝑶𝑵𝑬"
𝐓𝐉 𝐂𝐨𝐦𝐬 (𝐓𝐉 𝐂𝐨𝐦𝐦𝐮𝐧𝐢𝐜𝐚𝐭𝐢𝐨𝐧𝐬) is a professional event agency that includes experts in the event-organizing market in Vietnam, Korea, and ASEAN countries. We provide unlimited types of events from Music concerts, Fan meetings, and Culture festivals to Corporate events, Internal company events, Golf tournaments, MICE events, and Exhibitions.
𝐓𝐉 𝐂𝐨𝐦𝐬 provides unlimited package services including such as Event organizing, Event planning, Event production, Manpower, PR marketing, Design 2D/3D, VIP protocols, Interpreter agency, etc.
Sports events - Golf competitions/billiards competitions/company sports events: dynamic and challenging
⭐ 𝐅𝐞𝐚𝐭𝐮𝐫𝐞𝐝 𝐩𝐫𝐨𝐣𝐞𝐜𝐭𝐬:
➢ 2024 BAEKHYUN [Lonsdaleite] IN HO CHI MINH
➢ SUPER JUNIOR-L.S.S. THE SHOW : Th3ee Guys in HO CHI MINH
➢FreenBecky 1st Fan Meeting in Vietnam
➢CHILDREN ART EXHIBITION 2024: BEYOND BARRIERS
➢ WOW K-Music Festival 2023
➢ Winner [CROSS] Tour in HCM
➢ Super Show 9 in HCM with Super Junior
➢ HCMC - Gyeongsangbuk-do Culture and Tourism Festival
➢ Korean Vietnam Partnership - Fair with LG
➢ Korean President visits Samsung Electronics R&D Center
➢ Vietnam Food Expo with Lotte Wellfood
"𝐄𝐯𝐞𝐫𝐲 𝐞𝐯𝐞𝐧𝐭 𝐢𝐬 𝐚 𝐬𝐭𝐨𝐫𝐲, 𝐚 𝐬𝐩𝐞𝐜𝐢𝐚𝐥 𝐣𝐨𝐮𝐫𝐧𝐞𝐲. 𝐖𝐞 𝐚𝐥𝐰𝐚𝐲𝐬 𝐛𝐞𝐥𝐢𝐞𝐯𝐞 𝐭𝐡𝐚𝐭 𝐬𝐡𝐨𝐫𝐭𝐥𝐲 𝐲𝐨𝐮 𝐰𝐢𝐥𝐥 𝐛𝐞 𝐚 𝐩𝐚𝐫𝐭 𝐨𝐟 𝐨𝐮𝐫 𝐬𝐭𝐨𝐫𝐢𝐞𝐬."
Implicitly or explicitly all competing businesses employ a strategy to select a mix
of marketing resources. Formulating such competitive strategies fundamentally
involves recognizing relationships between elements of the marketing mix (e.g.,
price and product quality), as well as assessing competitive and market conditions
(i.e., industry structure in the language of economics).
Unveiling the Secrets How Does Generative AI Work.pdfSam H
At its core, generative artificial intelligence relies on the concept of generative models, which serve as engines that churn out entirely new data resembling their training data. It is like a sculptor who has studied so many forms found in nature and then uses this knowledge to create sculptures from his imagination that have never been seen before anywhere else. If taken to cyberspace, gans work almost the same way.
RMD24 | Debunking the non-endemic revenue myth Marvin Vacquier Droop | First ...BBPMedia1
Marvin neemt je in deze presentatie mee in de voordelen van non-endemic advertising op retail media netwerken. Hij brengt ook de uitdagingen in beeld die de markt op dit moment heeft op het gebied van retail media voor niet-leveranciers.
Retail media wordt gezien als het nieuwe advertising-medium en ook mediabureaus richten massaal retail media-afdelingen op. Merken die niet in de betreffende winkel liggen staan ook nog niet in de rij om op de retail media netwerken te adverteren. Marvin belicht de uitdagingen die er zijn om echt aansluiting te vinden op die markt van non-endemic advertising.
Digital Transformation and IT Strategy Toolkit and TemplatesAurelien Domont, MBA
This Digital Transformation and IT Strategy Toolkit was created by ex-McKinsey, Deloitte and BCG Management Consultants, after more than 5,000 hours of work. It is considered the world's best & most comprehensive Digital Transformation and IT Strategy Toolkit. It includes all the Frameworks, Best Practices & Templates required to successfully undertake the Digital Transformation of your organization and define a robust IT Strategy.
Editable Toolkit to help you reuse our content: 700 Powerpoint slides | 35 Excel sheets | 84 minutes of Video training
This PowerPoint presentation is only a small preview of our Toolkits. For more details, visit www.domontconsulting.com
Memorandum Of Association Constitution of Company.pptseri bangash
www.seribangash.com
A Memorandum of Association (MOA) is a legal document that outlines the fundamental principles and objectives upon which a company operates. It serves as the company's charter or constitution and defines the scope of its activities. Here's a detailed note on the MOA:
Contents of Memorandum of Association:
Name Clause: This clause states the name of the company, which should end with words like "Limited" or "Ltd." for a public limited company and "Private Limited" or "Pvt. Ltd." for a private limited company.
https://seribangash.com/article-of-association-is-legal-doc-of-company/
Registered Office Clause: It specifies the location where the company's registered office is situated. This office is where all official communications and notices are sent.
Objective Clause: This clause delineates the main objectives for which the company is formed. It's important to define these objectives clearly, as the company cannot undertake activities beyond those mentioned in this clause.
www.seribangash.com
Liability Clause: It outlines the extent of liability of the company's members. In the case of companies limited by shares, the liability of members is limited to the amount unpaid on their shares. For companies limited by guarantee, members' liability is limited to the amount they undertake to contribute if the company is wound up.
https://seribangash.com/promotors-is-person-conceived-formation-company/
Capital Clause: This clause specifies the authorized capital of the company, i.e., the maximum amount of share capital the company is authorized to issue. It also mentions the division of this capital into shares and their respective nominal value.
Association Clause: It simply states that the subscribers wish to form a company and agree to become members of it, in accordance with the terms of the MOA.
Importance of Memorandum of Association:
Legal Requirement: The MOA is a legal requirement for the formation of a company. It must be filed with the Registrar of Companies during the incorporation process.
Constitutional Document: It serves as the company's constitutional document, defining its scope, powers, and limitations.
Protection of Members: It protects the interests of the company's members by clearly defining the objectives and limiting their liability.
External Communication: It provides clarity to external parties, such as investors, creditors, and regulatory authorities, regarding the company's objectives and powers.
https://seribangash.com/difference-public-and-private-company-law/
Binding Authority: The company and its members are bound by the provisions of the MOA. Any action taken beyond its scope may be considered ultra vires (beyond the powers) of the company and therefore void.
Amendment of MOA:
While the MOA lays down the company's fundamental principles, it is not entirely immutable. It can be amended, but only under specific circumstances and in compliance with legal procedures. Amendments typically require shareholder
2. • Whilst the financial reporting and general finance
function was straightforward and heavily
influenced by accounting practice, other areas
such as deposits, equity backed investments,
account handling and even compliance were
going to be markedly different.
• Previous attempts at rolling out the system had
been flawed and ineffective due mainly to
the approach taken being too high level and
failure to engage the departments
at a meaningful level.
3. • The Framework fundamentals were sound and
universally acceptable but a solid understanding
of the differences between the banking and the
insurance world was required and demanded an
open and honest dialogue with the various heads
of department.
• A plan was formulated to deal with each part
of the framework and priorities were made
using customer importance as the main
criterion and ensuring that processes
were accurately recorded and the
controls were adequately described
4. • During the initial process identification and
evaluation, important lessons were learned
regarding common processes that cut across all
departments, and the time saving that could be
obtained by linking the sub-processes on a
platform for unique and discrete functionality.
• IT was obviously linked to every process from
cash deposits and withdrawals, investments
received and loan applications and draws.
• IT was split into facilitation and a
support function so that additional
discernment could be made across
specific functions.
5. • As nobody was likely to understand the processes
and controls like the process owners, they were
tasked with the mapping of the processes at a
high level with all potential risk areas an
appropriate controls at the required junctures.
• A peer test would be conducted with the 2nd in
command and a quality assurance function
supplied by us.
• Fully documented details of the processes
and a full evaluation of the control’s
design and functionality with the
relevant COSO apportioned category
was then uploaded to the central
repository for reference.
6. • When all processes were identified with unique
references, a quarterly process owner sign-off
and 6 monthly full review was scheduled for each
department. Changes were coordinated and
phased to provide no loss of material
functionality to customers.
• Senior management reviewed and approved
any changes recommended and reported
through the risk committee.
• Global HQ were in overall command
of all data and version control
management with trained local
support and liaison.
7. • The entire process then had to be interpreted and
adapted to the European Head Office, the Isle of
Man International Operation and a final review
and interpretation of the fiduciary function in the
Channel Islands.
• The commonality of the processes in the main
banking arena had provided timesaving and
commonality that was applied across the
other three areas.
• The entire process was started at the beginning
of September and scheduled for 6
months and the final documented
process was received before New
Years Eve – two month’s early!
8. • You are always dealing with the principal when
you are dealing with my firm. This means that I am the
relationship manager and there is no junior partner to
whom responsibility will be transferred. There is no
decreased accountability, no "hand-off" to a lessinformed colleague. If your interests are at stake
continually, shouldn’t you reasonably expect my
continual involvement?
• We can usually provide resources on a "just in
time" basis. That is, our projects do not have to cover
excessive overhead, such as multiple offices, large
administrative backup, recruiting, partner perks, etc.
We are organized to efficiently provide everything that
you, as the buyer needs, but nothing more than that
which means that you are paying for value and results
and only minimum overhead.
9. • There is more likelihood of your privacy
and confidentiality being observed with
fewer people working on the project. We
(and/or the few people we might also involve)
are constant which means that there isn’t the
need to sift through dozens of differing
perceptions.
• We’re faster. We can respond to requests
quickly, and return all calls within four hours
which means to you that there is no need to
worry about a bureaucracy, delays and
unknown people on the other end of the
phone
10. • Since we handle fewer concurrent projects than
larger firms, our attention is focused on the job at
hand. This means that you don’t have to
"compete" with another dozen or so of our
clients, which may be larger, paying more or are
more time-demanding. We structure our work so
that every client receives maximum
attention.
• Your investment is controlled. There is no
"meter running". We work for a fixed, valuebased, project fee. Large firms can’t afford to do
that as readily because of all the people involved
and their own insistence on measuring their
success by billable hours. We measure our success
by client objectives reached, not in “time units”.
11. • The expertise that larger firms use is often whitelabelling for them by a pool of consultants
available in the marketplace at any one time. We
select our consultants from practising
subject matter experts which means that
you obtain the same or better expertise for less
money, because;
• Inevitably, we are less expensive. There
are economies to using someone who can base
their fees on each situation and not on a predetermined service scale or need for reaching a
practice quota. This means quite simply better
value to you.
12. Click Mouse Reveal Next Phase
Phase 1
We will conduct an initial appraisal at our cost
– only charging for expenses (UK Only)
Phase 2
We will make a proposal based on our
appraisal with your outcomes and needs
Phase 3
We will discuss the precise scope with you
and provide you with a project price
Phase 4
We will complete the work to your original
scope and satisfaction
13. We have a wealth of Financial Services Experience, and due to
the remedial nature of our work forming over 60% of our
business and that is conducted under a Non Disclosure Regime,
we cannot demonstrate every client.
14. We can provide all manner of assistance in
• Initial risk assessment or audit — an initial analysis to
identify higher risk areas of the business and weaknesses
in procedures. We also do risk management design.
• Business development — business analysis advice or
advice on particular issues — for example, how your firm is
Treating Customers Fairly and an action plan for
implementing Conduct Risk across your business.
• Help with setting up procedures — for example procedural
manuals for recruitment, training and competence,
complaints handling and anti-money laundering. May also
include templates for disclosure documents, fact-finds and
registers.
• File audits — checks to ensure that procedures are being
followed and identify good practices and weaknesses
• Complaints Handling – cost effective and project managed
from start to finish making your response robust and
consistent
15. We can provide all manner of assistance in;
• Technical support — may include advice on particular
products or regulatory reporting. May be available in
various formats, including website, helpdesk and individual
technical advice.
• Training — for example competency assessments, training
opportunities or product risk guidance. May be online
support, regulatory updates or seminar based.
• Support on individual issues — for example in dealing with
a complaint, a financial promotion or a particular suitability
letter.
• Financial promotions (all areas of advertisement) - full
support which would include websites, brochures, DVD's,
email templates, client mail shots, adverts, contacting
existing clients and so on.
• Remedial work — helping to action remedial work
required by the FCA/PRA.
• And much more … just ask!