In the ever-evolving landscape of financial regulations, compliance training for employees is not just a legal obligation but a strategic necessity. At CIMA Financial Regulation Consultants, led by Carlos González-Stawinski, we understand the significance of keeping employees well-versed in compliance matters. In this blog, we will delve into the importance of providing effective and ongoing compliance training to employees in the financial services industry, ensuring that organizations can navigate the complex regulatory environment seamlessly.
Blog by CIMA Financial Regulation Consultants
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The Crucial Role of Effective and Ongoing Compliance Training for Employees
- CIMA Financial Regulation Consultants
Categories: Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Compliance Consulting
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The Importance of Having a Compliance Officer Reporting Directly to Senior Management
- CIMA Financial Regulation Consultants
Categories: Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Compliance Consulting
In the dynamic world of financial regulation, the role of a compliance officer is pivotal in ensuring that a company adheres to the intricate web of rules and regulations governing the industry. However, it is equally essential for this compliance officer to have a direct line of communication with senior management. At CIMA Financial Regulation Consultants, this fundamental concept is upheld to maintain the highest standards of financial services. In this blog, we will explore why having a compliance officer who directly reports to or has easy access to senior management is crucial for any financial institution's success and integrity.
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Announcing The New Website
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
We are delighted to announce the launch of our new website!
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Tendencias de la industria: ¿cambio de guardia?
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
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Fincen Files: una nueva filtración que tendrá consecuencias sobre la regulación en Estados Unidos y el mercado internacional
- Mock Webware
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
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Funds Society Interview with Carlos Gonzalez-Stawinski: FinCen Files: Regulatory Implications
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
TRANSLATION
1. First, one may wonder about the scope of the leaked documents. Reports of suspicious activity sent to U.S. authorities between 2000 and 2017 are reported. It is a fairly long period in which regulatory changes continued to occur in the United States and around the world. So, what kind of documents are we talking about?
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Securities Industry Trends: Changing of the Guards?
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
Securities Industry Trends: Changing of the Guards?
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Regulación Best Interest: ¿Qué sigue ahora?
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
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Regulación Best Interest: ¿Cómo actuamos ante el Formulario CRS?
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
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Regulation Best Interest: What Now? Part two
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
During our last column we wrote about Regulation Best Interest (Reg. BI) and what should be included as part of your post-implementation analysis. Then, we recommended to follow a three-step process: Calibrate, Adjust and Learn. Now, we would like to focus the attention in an area of Reg. BI that is getting regulatory attention and that we believe will continue to be subject of much discussion: The Client Relationship Summary or Form CRS. Form CRS1 is a one of the two (2) disclosure requirements created under Reg. BI’s Disclosure Obligation. The document is designed to provide, in a simple, plain, and succinct…
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Conozca a su cliente, Persona Políticamente Expuesta y Debida Diligencia al Cliente
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
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Know Your Customer, Politically Exposed Person and Customer Due Diligence
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
On August 21, 2020 the main regulatory banking agencies from the United States issued a joint statement (Joint Statement) clarifying the obligations of banks in the United States regarding customer due diligence (CDD) and enhanced due diligence (EDD) processes, surrounding Politically Exposed Persons (PEP)1.
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FINRA Sanctions Wells Fargo Clearing Services, LLC
- CIMA Financial Regulation Consultants
Categories: Alternative Investment Broker Dealer Supervision Outsourcing Chief Compliance Officer Services Compliance Reviews and Evaluations Financial Advisory Financial Compliance Consulting Financial Laws Financial Regulation Consultants Financial Regulations Financial Regulations Consulting Financial Risk Management Financial Risk Management Consulting Financial Service Regulation Consulting Firm International Financial Services Risk Management Investment Programs Leadership Coaching Regulatory Audits Regulatory Risk Guidance Sales and Service Training Supervision Program WSP Development
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