This document discusses new legislation around investment advisor registration and compliance programs. It provides the following key points:
- The Dodd-Frank Act of 2010 will require most investment advisors to register or reregister with the SEC or states within one year. Some SEC-registered advisors may need to deregister and register in states instead.
- Regulators will require registered advisors to have robust compliance programs to demonstrate strong internal controls and procedures. Many advisors are beginning to implement these programs now.
- Steelbridge Compliance offers services to help advisors meet new registration and compliance requirements through offerings like registration assistance, compliance reviews, and additional services around technology, disaster recovery, and training.
Riskpro is an Indian organization that provides risk management consulting services through offices in major cities. It offers a wide range of services related to risk management, governance, and compliance for mid-large sized corporate and financial institutions. The document discusses Riskpro's mission, value proposition, services, and audit methodology. Riskpro's services include Basel II/III advisory, corporate risk assessment, information security, and operational risk reviews. It conducts legal and compliance audits to identify risks and ensure organizations are adhering to applicable laws and regulations.
The document provides information about Riskpro, an organization that offers risk management consulting services in India. It has offices in major cities and alliances in other cities, managed by experienced professionals. Riskpro aims to provide integrated risk management solutions and be a preferred service provider for governance, risk, and compliance needs. It offers a wide range of advisory services including audits, assessments, and training. The document then focuses on Riskpro's legal and compliance audits, outlining their objectives, methodology, and coverage of relevant acts.
Riskpro is an Indian risk management consulting firm with offices in Mumbai, Delhi, and Bangalore. It provides a wide range of risk management advisory services including Basel II/III advisory, corporate risk assessment, information security audits, and operational risk reviews. The document discusses Riskpro's mission, value propositions, service offerings, client examples, team resumes, and partnerships. It also covers topics like legal and compliance audits, the audit methodology, and benefits and challenges of such audits.
RISKPRO INDIA
• Riskpro is India’s first national practice dedicated to risk management services and training, corporate governance, and global regulatory compliances
• Risk can be defined as a prospect of loss or reduced gain that can adversely affect the achievement of an organisation’s objectives
• When greed overtakes need, it spells trouble. Manifested as ‘bankruptcy’ in much of the developed world and ‘corruption’ closer to home, greed has clearly disrupted some major industrialised economies and enhanced the risks of doing business
• In today’s world, risks are not few. The reason companies so often fail to systematically manage their key risks is rooted in the way they define the risks they face. Risks are manageable and the answer to untapped business opportunities that lie dormant waiting for risk factors to turn favourable
• Riskpro was founded in 2009 with offices in Mumbai, Delhi, and Bangalore and it has already added eight member firms in Ahmedabad, Agra, Chennai, Gurgaon, Hyderabad, Jaipur, Ludhiana, and Pune. All our offices and member firms are well equipped and staffed with qualified professionals viz. CA, CWA, CS, CPA, CIA, CISA, CFA, and MBA
• Riskpro’s founders are qualified risk management specialists with extensive work experience in Europe and USA in several industries and financial institutions
• Riskpro aims to be the preferred service provider for large and medium enterprises on risk protection, corporate governance, and global regulatory issues; delivering state-of-the-art quality and timely services at viable rates
RISKPRO SERVICES
• Our four major practice specialisations /service lines are:
Risk: Enterprise Risk Management (services and training & recruitment)
Governance: Corporate Governance and Transparency
Compliance: Global and Indian Regulatory Compliances
Training: in all of the above service lines
• The Risk Practice deals with all classes of risks and processes viz. governance, strategic, systemic /infrastructure, compliance, reporting, and financial reporting. Processes require that key risks are properly identified, measured, monitored, controlled, and reported. Processes may also require tools like risk based internal audit, information security testing, and fraud investigations, to be employed
• The Governance Practice deals with corporate oversight and risk governance issues within an organization including business continuity planning, compliance with SEBI guidelines by listed companies, regulations relating to independent directors, investor expectation and protection, Clause-49 on corporate governance, etc
• The Compliance Practice covers a wide range of regulatory and environmental compliances including Sox, IFRS, Solvency II, Basel II /III, Corporate Laws & Direct Tax Code etc
• The Training Practice comprises of a variety of structured and /or industry specific training programs and modules designed and conducted by Riskpro experts and trainers at onsite (client or other off
Often, a variety of individuals within an organization are responsible for establishing contracts with myriad Service Delivery Organizations. Without a top-down service level management approach, the end result is often unacceptable timelines for service delivery. This presentation will demonstrate the importance of starting with the business to define SLAs and creating Underpinning Agreements that support those SLAs.
1) The document discusses using the Skills Framework for the Information Age (SFIA) to assess candidates' professional IT skills when recruiting for roles like a D7 Live Services Delivery Manager.
2) It analyzes candidates against critical SFIA skills for the role like Service Level Management and Release Deployment, weighting skills based on importance.
3) It recommends candidate L as the most likely to succeed in the role based on having the highest weighted scores in the critical skills of Service Level Management and overall operating at the expected responsibility level.
The document summarizes a study on best practices in procure-to-pay (P2P) cycles based on perspectives from suppliers and industry experts. The study identified six key findings to improve the P2P cycle: robust processes and training, onsite relationship managers, robust technology using a single supplier portal, improved forecasting and flexibility for emergencies, reduced catalog complexity, and top management support. A recommended approach for improvement involves mapping processes, understanding user needs, redesign workshops, technology solutions, training, and ongoing updates.
The document describes the key processes and activities of the Star Knowledge technology consulting firm for presales, project governance, project management, and quality management. It includes sections on value proposition, presales, project governance, project management, quality management, status reporting, user acceptance testing, project lifecycle phases of initiate, plan, execute, monitor, and close-out. The objective is to successfully deliver customer projects on time and on budget by following industry best practices.
Riskpro is an Indian organization that provides risk management consulting services through offices in major cities. It offers a wide range of services related to risk management, governance, and compliance for mid-large sized corporate and financial institutions. The document discusses Riskpro's mission, value proposition, services, and audit methodology. Riskpro's services include Basel II/III advisory, corporate risk assessment, information security, and operational risk reviews. It conducts legal and compliance audits to identify risks and ensure organizations are adhering to applicable laws and regulations.
The document provides information about Riskpro, an organization that offers risk management consulting services in India. It has offices in major cities and alliances in other cities, managed by experienced professionals. Riskpro aims to provide integrated risk management solutions and be a preferred service provider for governance, risk, and compliance needs. It offers a wide range of advisory services including audits, assessments, and training. The document then focuses on Riskpro's legal and compliance audits, outlining their objectives, methodology, and coverage of relevant acts.
Riskpro is an Indian risk management consulting firm with offices in Mumbai, Delhi, and Bangalore. It provides a wide range of risk management advisory services including Basel II/III advisory, corporate risk assessment, information security audits, and operational risk reviews. The document discusses Riskpro's mission, value propositions, service offerings, client examples, team resumes, and partnerships. It also covers topics like legal and compliance audits, the audit methodology, and benefits and challenges of such audits.
RISKPRO INDIA
• Riskpro is India’s first national practice dedicated to risk management services and training, corporate governance, and global regulatory compliances
• Risk can be defined as a prospect of loss or reduced gain that can adversely affect the achievement of an organisation’s objectives
• When greed overtakes need, it spells trouble. Manifested as ‘bankruptcy’ in much of the developed world and ‘corruption’ closer to home, greed has clearly disrupted some major industrialised economies and enhanced the risks of doing business
• In today’s world, risks are not few. The reason companies so often fail to systematically manage their key risks is rooted in the way they define the risks they face. Risks are manageable and the answer to untapped business opportunities that lie dormant waiting for risk factors to turn favourable
• Riskpro was founded in 2009 with offices in Mumbai, Delhi, and Bangalore and it has already added eight member firms in Ahmedabad, Agra, Chennai, Gurgaon, Hyderabad, Jaipur, Ludhiana, and Pune. All our offices and member firms are well equipped and staffed with qualified professionals viz. CA, CWA, CS, CPA, CIA, CISA, CFA, and MBA
• Riskpro’s founders are qualified risk management specialists with extensive work experience in Europe and USA in several industries and financial institutions
• Riskpro aims to be the preferred service provider for large and medium enterprises on risk protection, corporate governance, and global regulatory issues; delivering state-of-the-art quality and timely services at viable rates
RISKPRO SERVICES
• Our four major practice specialisations /service lines are:
Risk: Enterprise Risk Management (services and training & recruitment)
Governance: Corporate Governance and Transparency
Compliance: Global and Indian Regulatory Compliances
Training: in all of the above service lines
• The Risk Practice deals with all classes of risks and processes viz. governance, strategic, systemic /infrastructure, compliance, reporting, and financial reporting. Processes require that key risks are properly identified, measured, monitored, controlled, and reported. Processes may also require tools like risk based internal audit, information security testing, and fraud investigations, to be employed
• The Governance Practice deals with corporate oversight and risk governance issues within an organization including business continuity planning, compliance with SEBI guidelines by listed companies, regulations relating to independent directors, investor expectation and protection, Clause-49 on corporate governance, etc
• The Compliance Practice covers a wide range of regulatory and environmental compliances including Sox, IFRS, Solvency II, Basel II /III, Corporate Laws & Direct Tax Code etc
• The Training Practice comprises of a variety of structured and /or industry specific training programs and modules designed and conducted by Riskpro experts and trainers at onsite (client or other off
Often, a variety of individuals within an organization are responsible for establishing contracts with myriad Service Delivery Organizations. Without a top-down service level management approach, the end result is often unacceptable timelines for service delivery. This presentation will demonstrate the importance of starting with the business to define SLAs and creating Underpinning Agreements that support those SLAs.
1) The document discusses using the Skills Framework for the Information Age (SFIA) to assess candidates' professional IT skills when recruiting for roles like a D7 Live Services Delivery Manager.
2) It analyzes candidates against critical SFIA skills for the role like Service Level Management and Release Deployment, weighting skills based on importance.
3) It recommends candidate L as the most likely to succeed in the role based on having the highest weighted scores in the critical skills of Service Level Management and overall operating at the expected responsibility level.
The document summarizes a study on best practices in procure-to-pay (P2P) cycles based on perspectives from suppliers and industry experts. The study identified six key findings to improve the P2P cycle: robust processes and training, onsite relationship managers, robust technology using a single supplier portal, improved forecasting and flexibility for emergencies, reduced catalog complexity, and top management support. A recommended approach for improvement involves mapping processes, understanding user needs, redesign workshops, technology solutions, training, and ongoing updates.
The document describes the key processes and activities of the Star Knowledge technology consulting firm for presales, project governance, project management, and quality management. It includes sections on value proposition, presales, project governance, project management, quality management, status reporting, user acceptance testing, project lifecycle phases of initiate, plan, execute, monitor, and close-out. The objective is to successfully deliver customer projects on time and on budget by following industry best practices.
iSAMS is ERP Logic's integrated SAP Application Management Services offering that provides multi-year management of SAP applications and reduces costs. It aims to improve quality of IT delivery, convert costs to variable, and refocus internal resources on other initiatives. Key benefits include higher quality services, reduced technology risk, and access to skilled SAP resources and upgrades.
Salmon's presentation given at a half-day advisory seminar and networking session designed for Rackspace eCommerce clients and prospects, eCommerce software partners and web design partners.
This document provides an overview of Riskpro, an organization that offers risk management consulting services to mid-large sized companies in India. It has offices in Mumbai, Delhi, and Bangalore, and alliances in other cities. Riskpro focuses on governance, risk, and compliance solutions. It identifies several key risks for the ITES/BPO/KPO industry, such as high attrition, data security issues, and regulatory non-compliance. The document then outlines Riskpro's service offerings to address these risks, including process reviews and improvements, risk assessments, training programs, and knowledge management solutions.
This document provides an overview of Riskpro, an organization that offers risk management consulting services to mid-large sized companies in India. It has offices in Mumbai, Delhi, and Bangalore, and alliances in other cities. Riskpro focuses on governance, risk, and compliance solutions. It identifies several key risks for the ITES/BPO/KPO industry, such as high attrition, data security issues, and regulatory non-compliance. The document then outlines Riskpro's service offerings to address these risks, including process reviews and improvements, risk assessments, training programs, and knowledge management solutions.
This document provides information about Riskpro, an Indian risk management advisory and consulting firm. [1] It has offices in Mumbai, Delhi, and Bangalore and alliances in other cities, managed by experienced professionals. [2] Riskpro aims to provide integrated risk management consulting services and be the preferred provider for governance, risk, and compliance solutions. [3] It offers a variety of risk management advisory services including Basel II/III, corporate risks, information security, operational risk, governance, and training.
This document outlines three steps to minimize market risk when developing new products: 1) Define strategic intent by understanding customer needs and how the product will be delivered; 2) Elicit market feedback through in-depth interviews to understand technical needs, perceived strengths/weaknesses, and buying factors; 3) Assess market potential through a quantitative survey to identify attractive market segments, price sensitivity, and how users make tradeoffs to avoid launch mistakes like over-engineering or under-pricing. Following these steps with choice-based conjoint analysis and price sensitivity simulations allows actionable insights to guide decisions around priorities, pricing, distribution, and positioning for successful product launches.
Acto.IT Consulting is an IT consulting firm with over 10 years of experience. They strive for excellence and delivering high quality projects grounded in ethical values. Their team of experienced professionals can help clients with challenges such as repositioning for competitive markets and improving products through qualitative improvements. Acto.IT provides a range of IT services including process assurance, business intelligence, project implementation management, ERP solutions, software development, database management, and operating systems support. They aim to become recognized for their innovative approach and incremental quality services.
Riskpro India Ventures provides risk management consulting services and training. It has offices in major Indian cities and alliances in other cities, managed by experienced professionals. Its services include risk advisory, consulting, training, and human capital management solutions. It aims to be a preferred service provider for governance, risk and compliance needs of mid-large sized companies in India. Key differentiators include expertise in risk management, over 200 years of cumulative experience, a hybrid delivery model, and ability to take on large complex projects.
Project management is the science and art of organizing the components of a project, whether the project is development of a new product, the launch of a new service or a marketing campaign . Project Management is now a way of life. In today’s global marketplace, complexity and speed are essential factors to survive. If we try to have close look on different projects taking place in various corners of the world, they all are being initiated under tight budgets with fewer resources than ever before. Apart from this, project-based business is growing bigger and bigger every single day with more key business initiatives are now subject to a defined project plan, with specified deliverables and time constraints.
We at Riskpro understand the basic purpose of project management and training is to educate and train project managers with the ability to foresee as many dangers and problems as possible and control activities so that the project is completed as successfully as possible in spite of all the risks and hence we’re delighted to launch our Project Management & Soft skills Training services in addition to our existing bouquet of Risk advisory, Consulting, Training & Human Capital Services. Our services are offered through our multi location delivery centres in major metros with total presence in 11 Indian cities network.
“We are quoted in recent Economic Times news as among fastest growing risk consulting firms in India.”
Fees and Funds:Five Ways to Improve Your DC PlanTowers Perrin
Employers: Now’s the time to review your employees' retirement savings plan and remind employees of the value of planning for the long term. The current environment offers a number of opportunities to enhance your program while reducing plan costs.
The document provides a community health assessment of Montgomery County from 2013. It includes sections on demographics, health data, health behaviors, selected health priorities, existing health resources, and next steps. Some key findings are that cancer and heart disease are leading causes of death. Premature death rates meet benchmarks but mental health and low birthweight rates are higher than targets. Reproductive health and prenatal care were identified as priority areas for improvement. The assessment aims to inform future strategic planning and action to address community health needs.
This document provides contact information for over 100 golf courses and country clubs across Florida, including their names, addresses, phone numbers and websites. The golf facilities are listed alphabetically and contact details are provided for their clubhouses, maintenance facilities, and professional shops. This directory aims to help organics generators and processors in Florida identify potential end users for organic materials.
Ameriholdings LakePoint Brochure FINAL 3.2.15 hi-res READERMichael Woyan
This document summarizes an investment opportunity in LakePoint Sporting Community & Town Center, a mixed-use development located near Atlanta, Georgia. It will include world-class sporting facilities projected to attract 6 million annual visitors and $830 million in annual spending. The development has exceeded early projections and proven successful in attracting sports leagues, tenants, and visitors. The document outlines the investment terms, including a $500,000 investment requiring the creation of 2,683 jobs, annual profit distributions, and a clear 5-year exit strategy. It introduces the experienced development team behind the project.
The document provides information about an upcoming event called the Innovations in Diabetes Summit that will be held on July 14 in Minnesota. The summit will highlight advances in diabetes research, treatment, and care from leading organizations in the region. It will also feature panels of patients and experts who will discuss living with diabetes and new approaches. The goal is to connect key players in diabetes innovation and support new developments in prevention, treatment and cures.
A comprehensive introduction to Cloud Computing. Learn what it is, how it works, where it might be applicable, and when to avoid it. Presented by C3 / Cloud Computing Concepts Managing Partner, Rick Mancinelli.
XP “AntiPractices” : antipatterns for XP practices
including :
AntiPractice #1: Brownie’s works (“The boss refactored my code!”)
AntiPractice #2: Pairing Prison ("I'm always under observation!”)
presented by Kuranuki Yoshihito (Sonic Garden) and Kenji Hiranabe(Change Vision, Inc.)
This document describes several common "anti-practices" or mistakes that are frequently made when implementing eXtreme Programming (XP). It presents three stories as examples. The first story describes a senior developer refactoring code checked in by junior developers without pairing or communicating the changes, undermining their work. The second story describes a developer who feels unnecessary after taking time off and seeing the team function well without him. The third story describes a developer who finds pair programming stressful, feeling constantly observed. In each case, the coach works with the team to resolve the issues by emphasizing communication, personal goals, breaks during pairing, and flexibility in practices.
Preparing for distributed system failures using akka #ScalaMatsuriTIS Inc.
This document discusses architectural safety measures for distributed systems using Akka. It begins by introducing Akka and how it can be used to implement timeouts, circuit breakers, bulkheads and other patterns for handling failures in distributed systems. It then covers specific Akka features like actors, supervisors and clustering that provide tools for building resilient distributed architectures.
Managing an advisory firm's compliance program can be costly. Can this expense also be viewed as an investment? Learn how your compliance efforts can help you manage your firm more effectively.
Quality Assurance involves designing effective oversight systems to avoid risks. It requires pre-requisites like registration and standards, as well as oversight options like peer review. An effective oversight system also needs competent human resources, standardized methodologies for quality control, and a robust regulatory framework to ensure supervision and enforcement.
iSAMS is ERP Logic's integrated SAP Application Management Services offering that provides multi-year management of SAP applications and reduces costs. It aims to improve quality of IT delivery, convert costs to variable, and refocus internal resources on other initiatives. Key benefits include higher quality services, reduced technology risk, and access to skilled SAP resources and upgrades.
Salmon's presentation given at a half-day advisory seminar and networking session designed for Rackspace eCommerce clients and prospects, eCommerce software partners and web design partners.
This document provides an overview of Riskpro, an organization that offers risk management consulting services to mid-large sized companies in India. It has offices in Mumbai, Delhi, and Bangalore, and alliances in other cities. Riskpro focuses on governance, risk, and compliance solutions. It identifies several key risks for the ITES/BPO/KPO industry, such as high attrition, data security issues, and regulatory non-compliance. The document then outlines Riskpro's service offerings to address these risks, including process reviews and improvements, risk assessments, training programs, and knowledge management solutions.
This document provides an overview of Riskpro, an organization that offers risk management consulting services to mid-large sized companies in India. It has offices in Mumbai, Delhi, and Bangalore, and alliances in other cities. Riskpro focuses on governance, risk, and compliance solutions. It identifies several key risks for the ITES/BPO/KPO industry, such as high attrition, data security issues, and regulatory non-compliance. The document then outlines Riskpro's service offerings to address these risks, including process reviews and improvements, risk assessments, training programs, and knowledge management solutions.
This document provides information about Riskpro, an Indian risk management advisory and consulting firm. [1] It has offices in Mumbai, Delhi, and Bangalore and alliances in other cities, managed by experienced professionals. [2] Riskpro aims to provide integrated risk management consulting services and be the preferred provider for governance, risk, and compliance solutions. [3] It offers a variety of risk management advisory services including Basel II/III, corporate risks, information security, operational risk, governance, and training.
This document outlines three steps to minimize market risk when developing new products: 1) Define strategic intent by understanding customer needs and how the product will be delivered; 2) Elicit market feedback through in-depth interviews to understand technical needs, perceived strengths/weaknesses, and buying factors; 3) Assess market potential through a quantitative survey to identify attractive market segments, price sensitivity, and how users make tradeoffs to avoid launch mistakes like over-engineering or under-pricing. Following these steps with choice-based conjoint analysis and price sensitivity simulations allows actionable insights to guide decisions around priorities, pricing, distribution, and positioning for successful product launches.
Acto.IT Consulting is an IT consulting firm with over 10 years of experience. They strive for excellence and delivering high quality projects grounded in ethical values. Their team of experienced professionals can help clients with challenges such as repositioning for competitive markets and improving products through qualitative improvements. Acto.IT provides a range of IT services including process assurance, business intelligence, project implementation management, ERP solutions, software development, database management, and operating systems support. They aim to become recognized for their innovative approach and incremental quality services.
Riskpro India Ventures provides risk management consulting services and training. It has offices in major Indian cities and alliances in other cities, managed by experienced professionals. Its services include risk advisory, consulting, training, and human capital management solutions. It aims to be a preferred service provider for governance, risk and compliance needs of mid-large sized companies in India. Key differentiators include expertise in risk management, over 200 years of cumulative experience, a hybrid delivery model, and ability to take on large complex projects.
Project management is the science and art of organizing the components of a project, whether the project is development of a new product, the launch of a new service or a marketing campaign . Project Management is now a way of life. In today’s global marketplace, complexity and speed are essential factors to survive. If we try to have close look on different projects taking place in various corners of the world, they all are being initiated under tight budgets with fewer resources than ever before. Apart from this, project-based business is growing bigger and bigger every single day with more key business initiatives are now subject to a defined project plan, with specified deliverables and time constraints.
We at Riskpro understand the basic purpose of project management and training is to educate and train project managers with the ability to foresee as many dangers and problems as possible and control activities so that the project is completed as successfully as possible in spite of all the risks and hence we’re delighted to launch our Project Management & Soft skills Training services in addition to our existing bouquet of Risk advisory, Consulting, Training & Human Capital Services. Our services are offered through our multi location delivery centres in major metros with total presence in 11 Indian cities network.
“We are quoted in recent Economic Times news as among fastest growing risk consulting firms in India.”
Fees and Funds:Five Ways to Improve Your DC PlanTowers Perrin
Employers: Now’s the time to review your employees' retirement savings plan and remind employees of the value of planning for the long term. The current environment offers a number of opportunities to enhance your program while reducing plan costs.
The document provides a community health assessment of Montgomery County from 2013. It includes sections on demographics, health data, health behaviors, selected health priorities, existing health resources, and next steps. Some key findings are that cancer and heart disease are leading causes of death. Premature death rates meet benchmarks but mental health and low birthweight rates are higher than targets. Reproductive health and prenatal care were identified as priority areas for improvement. The assessment aims to inform future strategic planning and action to address community health needs.
This document provides contact information for over 100 golf courses and country clubs across Florida, including their names, addresses, phone numbers and websites. The golf facilities are listed alphabetically and contact details are provided for their clubhouses, maintenance facilities, and professional shops. This directory aims to help organics generators and processors in Florida identify potential end users for organic materials.
Ameriholdings LakePoint Brochure FINAL 3.2.15 hi-res READERMichael Woyan
This document summarizes an investment opportunity in LakePoint Sporting Community & Town Center, a mixed-use development located near Atlanta, Georgia. It will include world-class sporting facilities projected to attract 6 million annual visitors and $830 million in annual spending. The development has exceeded early projections and proven successful in attracting sports leagues, tenants, and visitors. The document outlines the investment terms, including a $500,000 investment requiring the creation of 2,683 jobs, annual profit distributions, and a clear 5-year exit strategy. It introduces the experienced development team behind the project.
The document provides information about an upcoming event called the Innovations in Diabetes Summit that will be held on July 14 in Minnesota. The summit will highlight advances in diabetes research, treatment, and care from leading organizations in the region. It will also feature panels of patients and experts who will discuss living with diabetes and new approaches. The goal is to connect key players in diabetes innovation and support new developments in prevention, treatment and cures.
A comprehensive introduction to Cloud Computing. Learn what it is, how it works, where it might be applicable, and when to avoid it. Presented by C3 / Cloud Computing Concepts Managing Partner, Rick Mancinelli.
XP “AntiPractices” : antipatterns for XP practices
including :
AntiPractice #1: Brownie’s works (“The boss refactored my code!”)
AntiPractice #2: Pairing Prison ("I'm always under observation!”)
presented by Kuranuki Yoshihito (Sonic Garden) and Kenji Hiranabe(Change Vision, Inc.)
This document describes several common "anti-practices" or mistakes that are frequently made when implementing eXtreme Programming (XP). It presents three stories as examples. The first story describes a senior developer refactoring code checked in by junior developers without pairing or communicating the changes, undermining their work. The second story describes a developer who feels unnecessary after taking time off and seeing the team function well without him. The third story describes a developer who finds pair programming stressful, feeling constantly observed. In each case, the coach works with the team to resolve the issues by emphasizing communication, personal goals, breaks during pairing, and flexibility in practices.
Preparing for distributed system failures using akka #ScalaMatsuriTIS Inc.
This document discusses architectural safety measures for distributed systems using Akka. It begins by introducing Akka and how it can be used to implement timeouts, circuit breakers, bulkheads and other patterns for handling failures in distributed systems. It then covers specific Akka features like actors, supervisors and clustering that provide tools for building resilient distributed architectures.
Managing an advisory firm's compliance program can be costly. Can this expense also be viewed as an investment? Learn how your compliance efforts can help you manage your firm more effectively.
Quality Assurance involves designing effective oversight systems to avoid risks. It requires pre-requisites like registration and standards, as well as oversight options like peer review. An effective oversight system also needs competent human resources, standardized methodologies for quality control, and a robust regulatory framework to ensure supervision and enforcement.
This document provides information about Riskpro, an organization that offers risk management consulting services in India. It discusses Riskpro's mission to provide integrated risk management solutions to mid-large sized companies. It highlights Riskpro's value propositions such as delivering quality services at affordable rates. The document then outlines several critical issues and risks facing the BPO industry, such as data confidentiality, regulatory compliance, and infrastructure risks. It provides possible solutions to address each risk. Finally, it lists the various risk management advisory services offered by Riskpro, including Basel II/III advisory, information security services, and operational risk consulting.
Mc Gladrey Financial Institutions ServicesLinkedInLeo
McGladrey provides specialized business services for financial institutions including assurance services, tax preparation and planning, risk management strategies, regulatory compliance, loan reviews, and strategic planning. Their experienced professionals help financial institutions address challenges, identify and mitigate risks, ensure compliance, and strategically plan for the future.
Wealthplanned! Financial Plannning and Wealth Management softwareCMC Ltd.
WealthPlanned is INdia's 1st integrated Financial Planning and Wealth Management solution on cloud. It is also available on Enterprise model. From CMC Ltd., a TATA group company
ex of my work for a client: Wealthplanned presentationPravin Gandhi
- Enjoyed branding Wealthplanned (tm of CMC Ltd.) as "Art of Making Your Clients Affluent"
- Packaged an integrated offering of Financial Planning and back office Wealth Management software
- on in-house or cloud platform;
- created awareness of product through linkedin and social media,
- designed promotional material
** this presentation is freely distributed on online media by client for procuct awareness **
This document discusses right-sourcing outsourced software testing projects to ensure successful performance and delivery. It covers what outsourcing is, the strategic and tactical reasons for outsourcing including cost savings, access to expertise, and regulatory compliance. Key factors for successful right-sourcing include clarity on goals, shared risks and communications with suppliers, readiness for outsourcing, and clear roles and performance standards.
Get Ready for Solvency II with Oracle's Hyperion Profitability and Cost Manag...Alithya
Organisations today are preparing for the Solvency II regulatory requirements by looking at the controls, processes, and methodologies involved with their various accounting, finance, and reporting functions, and making provisions to simplify, standardize, and wherever possible, automate. Ranzal Vice President and Oracle ACE, Mike Killeen provides an overview of HPCM and discuss how companies can leverage the tool for the Solvency II requirements. This presentation is for the UK market.
Gaining Competitive Advantage through Benefits RealizationSVPMA
Presentation by Prashanth Naidu at SVPMA Monthly Event August 2012: Approach to measure benefits of product investments and using that as a competitive advantage.
Click below for details notes from the event:
http://svpma.org/2012/08/august-2012-event/
As you grow your business you will soon subcontract to a government prime contractor or prime a contract with the government directly. When you do you understand that your financials are open to being audited by the government to ensure fair and compliant in-voicing. What do you need to know to be “compliant”? Is your accounting system already compliant? This and other questions are worth knowing before that day comes.
By: Gary Henry, McNew & Associates
Business Healthcheck Service By John Capper & CoJohn Capper & Co
This presentation describes our Business Health Check service. Think of it as preventative medicine for your business. What you get out of it is a measured easy to understand report on the state of your business and your action plan to respond to the findings of the Health Check
Steelbridge Compliance is a compliance services firm located in Dallas, Texas that provides specialized compliance solutions to investment advisors. It was founded by attorneys and CPAs with extensive experience at leading investment organizations. Steelbridge takes a practical approach to compliance, conducting risk-based assessments and reviews tailored to each client's specific needs and business model. It aims to add value while minimizing disruption and costs. The document provides an overview of Steelbridge's services and approach, and includes examples of compliance solutions and reviews it has provided to investment advisors of various sizes and complexity.
Val Lunz of NASA Goddard Space Flight Center presented best practices for enhancing the Capital Planning Investment Control (CPIC) framework to optimize business portfolio analysis. The CPIC provides a framework to strategically assess IT assets and prioritize investments. Managing the portfolio through sub-portfolios of similar investments and streamlining processes can maximize returns and leverage existing resources. Continuous evaluation and stakeholder involvement are also important to ensure the appropriate investments are selected and controlled in the current fiscal environment.
The document is an agenda for an investor conference at the Missile Defense Center in Woburn, MA on December 1, 2005. The agenda includes a buffet breakfast, transportation to Woburn, presentations on business overviews and core technologies from Raytheon executives, lunch, more technology demonstrations in breakout sessions, a financial outlook presentation, a summary, and Q&A with the Chairman and Acting CFO. The document also provides forward-looking statements and outlines Raytheon's focus on customer success through performance, relationships, and solutions.
Governance, Risk, and Compliance ServicesCapgemini
Capgemini’s integrated and centralized approach to Governance, Risk, and Compliance (GRC) breaks through traditional functional silos to deliver effective enterprise risk management and compliance as a continuous process. We help organizations manage a range of enterprise risks in the areas of IT, finance and accounting, operations, and regulatory compliance with flexible solutions comprised of a highly qualified CPA and CISA talent pool, innovative tools, and our unique collection of GPM best practice processes and controls.
The document discusses how to measure business resiliency through defining key performance indicators (KPIs) and key risk indicators (KRIs). It recommends establishing a business resiliency scorecard to track the maturity of business continuity management programs, risk versus loss metrics, and the level of protection against business requirements. The scorecard framework focuses on methods for gathering data and integrating it with the IT infrastructure landscape in order to control the alignment between business continuity plans and business operations.
Riskpro is an Indian organization that provides risk management consulting services through offices in major cities. It offers a wide range of services related to risk management, governance, and compliance for mid-large sized corporate and financial institutions. The document discusses Riskpro's mission, value proposition, services, and audit methodology. Riskpro's services include Basel II/III advisory, corporate risk assessment, information security, and operational risk reviews. It provides legal and compliance audits to identify regulatory scope, document verification, and reporting of non-compliance findings.
RAMS 2013 Calculating roi when implementing a dfr program by mike silvermanAccendo Reliability
Presentation given at RAMS 2013
Three-phase inverters are physically large, complex and expensive elements of major solar power generation systems. The inverter converts DC power created by the photovoltaic (PV) panels to AC power suitable for adding to the power grid.
The inverters’ reliability testing is a complex task and relies on reliability block diagrams (RBD), vendor and field data, plus selecting accelerated life tests (ALT) based on critical elements of the product.
This paper illustrates a case study that developed an RBD, used field and vendor data, and includes the design and use of two ALTs. The result is a working framework or model that provides a reasonable estimate of the expected lifetime performance of the inverter. While any project similar to this, is always a work in progress, the examination of the decisions and inputs for the model proves valuable for the continued improvement of the model and resulting life predictions. This project provides an excellent real life example of reliability estimation having a multitude of constraints including: sample size, test duration, and field data, thus having to rely on all sources of available data starting from field and vendor data to theoretical component reliability calculations, ALT plan execution, failure analysis, and finally summarizing the results using RBD to estimate product expected lifetime. At the time of writing this paper, based on completion of system level ALT, an availability of 99.97% is valid over a 10 year period according to southern Ontario weather as the main installation base. This will be revisited once subsystem ALT is completed.
Similar to Streelbridge Presentation (Lf 072810) (20)
2. The
Implications
of
New
Legislation
The Dodd-Frank Act of 2010
Most Investment Advisors Will Have to Register or Reregister
Within One Year of Enactment
SEC registered managers with less Federal exemptions from registration
than $100 MM AUM may have to are much narrower; Most private
deregister from the SEC and equity and hedge fund managers will
reregister in one or more states. have to register with the SEC or one
or more states.
Regulators require registered managers to have
verifiably robust compliance programs. Managers are
beginning implementation now.
Overview 2
3. Protect
Your
Brand.
Protect
Your
Business.
Robust
Compliance
Program
Attract More Investor Money Keep the Money You Earn
The Dodd-Frank Act is expected to raise the Avoid State and SEC interference and
investor qualification thresholds, limiting pools fines.
to high net worth investors.
Shorten SEC inspections and reduce
Large and institutional investors demand strong business distraction.
compliance procedures and back testing,
Low cost, outsourced compliance
regardless of registration with the SEC or states.
functions require fewer internal hires.
Enhance Your Reputation in
the Marketplace
Overview 3
4. Our
Services
Offerings
SteelbridgeCompliance
will meet your State or SEC required registration and
compliance program requirements.
• Registration
• ADV Part I and Part II
Advisor Services • Filing Support, including Federal and State Filings and
EDGAR Processing
• SEC Inspection Support
• Compliance Program Review
• Quarterly and Annual Reviews
Compliance Assessments • Mock Audits and Exams
and Testing • Specialized Reviews of Compliance Program
Components
• Specialized Testing of Processes and Internal Controls
• Technology Vendor Selection and Negotiation
• Disaster Recovery and Business Continuity Planning
Additional Services • Disaster Recovery and Business Continuity Testing
• Privacy Protection and Planning
• On Site Compliance Training
Overview 4
5. Who
is
SteelbridgeCompliance?
Who are we?
In-House Professionals: SteelbridgeCompliance was founded and is run by attorneys and CPAs with decades of
combined in-house experience at sophisticated, top-tier investment advisors.
Why does that matter?
Perspective: Real world understanding of the integrated business, operations, legal, back office, and compliance functions
of investment advisors, regardless of size, structure, or asset class.
Practical: Efforts are, therefore, tailored to an advisor’s specific size and strategy. No abstract and impersonal “best
practices”, and no excessive, expensive and irrelevant waste.
Purposeful: Ability to provide action items and actual implementation of fixes to the compliance program, not just
identifying red flags.
Implementation of
Analysis with Practical, cost effective change with the
Perspective. recommendations. Purpose of fixing
problems—not just
pointing out red flags.
Overview 5
7. Compliance
Programs
Should
ReJlect
and
Strengthen
Your
Business
Legal and
Risk Marketing
Management
Central Compliance Robust
Program Elements
• CCO
Compliance
• Compliance Manual
• Code of Ethics
Program
• Annual Review(s) Client
Operations • Monitoring Management
• Training
Portfolio
Management
and Trading
Overview 7
8. SteelbridgeCompliance
Program
Review
SteelbridgeCompliance
provides
Jlat-fee,
price
sensitive
levels
of
review.
Low
Tier 1: General, high level risk-based Are the requisite
assessment of the Advisor’s Compliance compliance program
Program in light of regulatory parts in place?
requirements.
Detail Level
Tier 2: Detailed, risk-based assessment
of the Advisor’s Compliance Program Are you doing what you
measured against the Advisor’s manual. said you are doing?
Compare reality to Compliance Manual-
are you doing what you say you are?
• Are there gaps in your
compliance program?
Tier 3: Compliance Program • Are you current with
development , update and/or existing trends, new
improvement of policies, processes, regulations and best
procedures and controls to address practices?
undue risks and gaps identified in the • How can your program
Tier 2 Review. be improved?
• Does your program
minimize risk in a cost
High effective manner?
Overview 8
9. SteelbridgeCompliance
Program
Review
Compliance Compliance
Requirements Program
Central Portfolio Legal and
Client
Program Marketing Mgmt Operations Risk
Elements Management &Trading Management
’33 Securities
Program Building
Act • CCO • PPM & ADV II • Policy and • Best • Custody • Efficacy
Blocks Review
• Compliance • Performance Procedures Execution • Info. Security Testing
Manual • Investment • AML/KYC • Proxy Voting • Record Keeping • Key Risk
Tier 1
• Code of Ethics Fees • Privacy • Soft Dollars • Business Continuity Indicators
’34 Exchange
• Annual Review • Solicitation • Provide ADV II • Restricted List • Disaster Recovery • Periodic
Act
• Monitoring • Advertising • Investor Reports • Securities Filings • Litigation Reviews
• Training • Strategy • FBAR Requirements • SEC and other
• Reg. M filings
‘40 Investment • Trade Allocation
Advisers Act
Requirements Review
Supporting/Detailed
’40 Investment
Company Act
Tier 2
Commodity Adequacy of Existing Policy Implementation
Exchange Act
Additional
SEC Regs
Additional
Federal Gap Analysis
Development
Regulations
Program
Tier 3
State
Regulations
Compliance Program Development and Implementation
New and/or Updated Policies, Processes, Procedures and Controls
Best Practices
Overview 9
10. The
Steelbridge
Review
Process
Off Site Information On Site Information Information Review Information Analysis Findings and
Gathering Gathering Summary Report
• Information • Findings
Request • On-Site Due • Do you have the • Are you doing • Ratings
• Off Site Due Diligence requisite policies, what you say you • Recommendations
Step 3
Step 5
Step 4
Step 1
Diligence processes, are doing?
Step 2
• Interviews • Summary Report
• Preparation for procedures and • What level of risk
site visit and controls? remains?
interviews with
firm personnel
• Begin review and
analysis process
• Risk driven, methodical approach
• Client selects level of detail to examine
• Performed by attorneys and operational
professionals with significant industry
experience
• End result produces actionable tasks and
evidence of a robust compliance program
Overview 10
11. Management
Team
Officers
Daryoush Niknejad, JD, Managing Director. Mr. Niknejad is a regulatory compliance attorney who has served in-
house and as outside counsel to registered investment advisors, private equity firms, and broker-dealers. Notably, he
was Associate General Counsel at Highland Capital Management, L.P., a multi-billion dollar investment adviser
responsible for large distressed asset funds, as well as various retail and private hedge funds, CLOs, and real estate
funds. While at Highland, he helped design, build-out, and test the firm’s compliance platform, while also advising on
derivatives trading, litigation management and a myriad of strategic relationships and agreements. Mr. Niknejad also
served as Associate General Counsel at IP Navigation Group, LLC, a technology focused family office, where he was
also General Counsel to its various portfolio companies. While at IP Navigation, he was the sole regulatory attorney
responsible for all SEC and Blue Sky Law compliance. Mr. Niknejad is a graduate of UCLA and the University of Texas
School of Law, and a member of the California and Texas bars.
Stephen Weinberg, JD, Vice President. Prior to joining Steelbridge Compliance, Mr. Weinberg worked as an attorney
in the compliance group at HBK Capital Management, a hedge fund with over $10B in assets under management. Prior
to HBK, Mr. Weinberg served as a Senior Associate for Blue Ridge Partners, a boutique management consulting firm.
While there he helped guide a prominent national bank in the improvement of its information security program in order
to address regulatory issues and compliance concerns of the OCC. Prior to Blue Ridge Partners, Mr. Weinberg held a
variety of positions with AMRESCO Inc., a diversified real estate and financial services firm that was, in large part,
subsequently acquired by companies such as GMAC and Wachovia Corporation. Mr. Weinberg’s tenure with
AMRESCO included improving operational performance as an Internal Process Consultant, working as a corporate
attorney in its legal group and as an asset manager where he resolved over $60M of defaulted commercial real estate
loans. Mr. Weinberg graduated from the University of Texas School of Law in 1992 after earning his B.A., with Honors,
from the University of Texas at Austin’s Plan II Honors program. While working full time, Mr. Weinberg subsequently
earned an M.B.A., with Honors, from Southern Methodist University’s Cox School of Business in 2001.
Overview 11
12. Management
Team
Directors
Michael Minces, JD. Mr. Minces is a founding partner at Blue River Partners LLC, a provider of complete compliance and
operations outsourcing solutions for investment managers. Prior to founding Blue River Partners, Mr. Minces was the
General Counsel and Chief Compliance Officer of Swank Capital, LLC. In this role, Mr. Minces was responsible for all
aspects of the Firm’s legal matters, regulatory compliance and product development. Mr. Minces was instrumental in the
design and implementation of a compliance platform relating to the Firm’s 2007 launch of a 1940 Act registered, public
closed-end investment company. In addition, Mr. Minces redesigned and customized the firm’s advisory compliance
platform. Prior to joining Swank, Mr. Minces was the Chief Compliance Officer and Associate General Counsel for
Highland Capital Management, L.P., an alternative asset manager in Dallas, Texas that managed up to $40 billion in
assets. At Highland, Mr. Minces was responsible for, among other duties, the design, implementation and maintenance of
Highland’s firm-wide regulatory compliance platform. In addition to his positions held at Highland, Mr. Minces also served
as the Chief Compliance Officer for each of Highland’s twelve managed registered investment company clients, with
direct reporting responsibility to the Funds’ independent Board of Directors. Prior to joining Highland, Mr. Minces worked
in the hedge fund group of Akin Gump Strauss Hauer & Feld LLP, specializing in fund structuring and formation for both
domestic and offshore entities, fund governance and regulatory and compliance matters and, prior to Akin Gump, worked
in the Investment Management Group at Skadden Arps, focusing on the formation and regulation of registered and
unregistered investment companies, federal securities regulation, structured financing and investment management. Mr.
Minces received a JD from the University of Texas School of Law in 2000 and a Bachelor of Business Administration in
Finance from the University of Texas at Austin in 1997. Mr. Minces is licensed to practice law in the states of Texas and
New York.
Overview 12
13. Management
Team
Directors
George Lee, JD. Mr. Lee is a founding partner of Lee & Stone LLP, a law firm which provides legal services to the
investment community including hedge funds, family offices, private equity funds and venture capital funds. Prior to
founding Lee & Stone, Mr. Lee served as General Counsel of Greenway Capital, a Texas registered investment adviser. At
Greenway, Mr. Lee oversaw and advised on all legal and compliance matters, including fund formation, marketing, ’34 Act
filings (including Forms 13-F, 13-D, and Section 16), proxy contests, PIPE transactions, Rule 144 sales of restricted
securities, offshore administration, custody and prime brokerage. Immediately prior to serving as General Counsel to
Greenway, Mr. Lee maintained a private practice based in Dallas and Houston, Texas representing select clients, which
ranged from start-up investment funds to publicly traded Fortune 500 companies. Prior to that, Mr. Lee worked in New
York, Dallas and Houston for the international law firms of LeBoeuf, Lamb, Greene & MacRae (now Dewey and LeBoeuf),
Akin, Gump Strauss, Hauer & Feld and Baker Botts representing hedge funds, private equity funds, venture capital funds
and public corporations in the areas of mergers and acquisitions, securities and regulatory compliance, including Sarbanes
Oxley compliance. Mr. Lee graduated from the University of Texas School of Law in 1987, and received his BA in 1983
from Carleton College. Mr. Lee is a member of the Texas and New York bars.
Mark Fordyce, CPA. Mr. Fordyce is a founding partner at Blue River Partners LLC. Prior to founding Blue River, Mr.
Fordyce was the Chief Financial Officer of Swank Capital, LLC. Swank Capital is an investment adviser with approximately
$960 million in assets under management through multiple hedge funds and one registered public closed-end fund,
investing primarily in master limited partnerships (MLPs) and global resources. In this role, Mr. Fordyce managed all
aspects of operations, finance, accounting, tax, information technology, and human resources. Prior to joining Swank
Capital, Mr. Fordyce was primarily responsible for the launch of three new advisory businesses - Durango Partners,
Caprock Capital Partners, and Hercules Partners. The investment strategies of these fund structures included convertible
arbitrage, merger arbitrage, equity long-short, commodities, bank debt, options, and total return swaps. Mr. Fordyce
served in the role of Chief Financial Officer and Chief Operating Officer of all three fund structures. Prior to his 9 years of
experience working with investment funds, Mr. Fordyce had 12 years of experience with PricewaterhouseCoopers and
KPMG, serving as Director and Managing Director in their respective tax practices. Mr. Fordyce graduated with highest
honors from New Mexico State University in 1988, receiving a Bachelor of Accounting.
Overview 13
14. Management
Team
Directors
Harrison Blase, CPA. Mr. Blase is a founding partner at Blue River Partners LLC. Mr. Blase has over six years of audit and
tax experience in the investment partnership industry. Prior to founding Blue River, Mr. Blase was the Controller at Swank
Capital. In this role, Mr. Blase was responsible for financial reporting, managing Fund audits, account setup, internal control
systems, and support for various compliance initiatives. In addition, Mr. Blase was the primary interface with the Firm’s
auditors, administrators and banking groups for all daily management issues. This included daily monitoring of cash and
position reconciliations, the review and distribution of performance reporting, and maintaining the flow of critical financial and
tax information to investors. Prior to joining Swank Capital, Mr. Blase worked for Rothstein Kass & Company, PLLC, helping
facilitate audits and tax returns for long /short equity Funds, commodity derivative Funds, and Fund of Funds. His
responsibilities included financial statement preparation and review, partnership tax return preparation, and training
personnel. His primary focus was on funds in the energy sector; specifically Swank Capital, LLC and a multi-billion dollar
commodity fund complex. Mr. Blase received his Bachelors of Business Administration and Master in Professional
Accounting from The University of Texas at Austin in 2004 and became a Certified Public Accountant in 2006.
Evan Stone, JD. Mr. Stone is a founding partner of Lee & Stone LLP. Prior to co-founding Lee & Stone in 2009, Mr. Stone
served as inside General Counsel for prominent Dallas-based control and activist investment manager, Newcastle Capital
Management. At Newcastle, where Mr. Stone continues to serve as outside General Counsel, Mr. Stone has overseen and
advised on all legal matters for the adviser and its affiliated investment funds and companies, including control
transactions, proxy contests, complex financings, corporate governance matters, ‘34 Act filings and fund formation and
marketing activities. Prior to joining Newcastle in 2006, Mr. Stone worked at the international law firm Skadden Arps Slate
Meagher & Flom LLP. At Skadden, Mr. Stone represented leading private equity funds and Fortune 500 companies on
mergers and acquisitions and securities matters, advising on a host of highly innovative transactions, and trained under,
and worked alongside, the foremost practitioners in the field. Mr. Stone’s background and perspective is augmented by
investment banking experience for Merrill Lynch & Co, where Mr. Stone advised public companies, private equity funds
and venture capital funds on equity and debt financings and mergers and acquisitions. Mr. Stone graduated from the
University of Texas School of Law and the University of Texas Graduate School of Business in 1997 and received his BA,
Magna Cum Laude, from Harvard College in 1993. Mr. Stone is a member of the Texas and New York bars.
Overview 14
15. 2626 Cole Avenue, Suite 400 | Dallas, Texas 75204
214.960.4810
www.steelbridgecompliance.com
For additional information, please contact D. Niknejad at
dn@steelbridgecompliance.com or 214.960.4811.