Archive for exchange

Insights on Responding to the NY SEC Inspection Letter at Institutional Investor Events’ 3rd Annual Chief Compliance Officer Forum, March 11-12, 2008

New York, NY (PRWEB) February 21, 2008 — Institutional Investor Events (II Events) is proud to announce the 3rd Annual Chief Compliance Officer Forum: Peer-Driven Strategies To Protect Your Firm in Volatile Times, March 11-12, 2008 at The Harmonie Club, New York City.

Held in association with Compliance Reporter, The Chief Compliance Officer Forum is the only forum created by CCOs for CCOs. The forum will tackle the key regulatory and compliance challenges facing today’s CCO and will cover topics such responding to the SEC’s new inspection letter, valuation, insider trading, forensic testing, due diligence for relationships with counterparties, BD/IA arrangements, the annual review and more.

The SEC New York Inspection Letter has set a new level of accountability across the board for the industry. Don’t miss Thomas A. Biolsi, U.S. Securities and Exchange Commission, as he answers the questions raised by this detailed assessment and get the tools you need to respond.

Our speaking faculty includes 23 regulators and compliance officers, including keynote speaker Bruce Karpati, U.S. Securities and Exchange Commission who will address current enforcement issues for investment advisors, and Alma Angotti from FINRA, who will address practical strategies for using gap analyses. Plus, hear real-life experiences from compliance officers such as David Lui, FAF Advisors/First American Funds, Lane S. Bucklan, Iridian Asset Management LLC; Victor Frye, ProFunds and ProShares; Brian Kawakami, Lazard Asset Management LLC; Joseph McGill, UBS Global Asset Management; Nicholas Tsoudis, Bear Stearns Asset Management, Inc. and more!

Program highlights includes:
• Interactive CCO Panel: Tales from the Trenches and Lessons Learned
• Controlling Insider Trading Risks in Today’s Uncertain Trading Climate
• CCO Experiences of Forensic and Transactional Testing
• Tackling Complex Valuation Risks in Volatile Markets and Illiquid Markets
• Real-Life Case Studies of IA Annual Reviews
• CCO Debate on Outsourcing and Third Party Due Diligence
• Achieving Compliance in BD/IA Arrangements
• NEW Roundtable Discussions CCO Liabilities, Compliance Challenges for Small Firms, Fee- Based Brokerage Accounts….. and more!
• Plus- Don’t Miss Our Half day Interactive Workshop: Surviving an SEC exam

About II Events
Institutional Investor Events produces awards events and high quality conferences and seminars that leverage the content of Institutional Investor News’ 17 financial newsletter titles. Like the Institutional Investor newsletters, the conferences deliver critical intelligence across the entire field of financial services, providing leading edge information on tomorrow’s trends. www.iievents.com

Comments

Globex Foreign Exchange Expands Again - This Time at Head Office Located in Heart of Downtown Edmonton, Alberta

Edmonton, AB (PRWEB) February 21, 2008 — Globex Foreign Exchange expands again! This time at head office located in the heart of downtown Edmonton, Alberta.

Recent growth had Co-Presidents Michael & Clive Oshry requiring more space. The company now fully occupies the entire Kershaw building on Edmonton’s bustling Jasper Ave. The renovations for this 100 year old building were swift and effective. After starting the expansion in early October, six short weeks later a former record store was completely transformed into an open and fresh working environment for twenty new employees. “The new space helps to streamline communication between departments and improve the efficiency of our document and information flow.” - Co-President Clive Oshry.

Realizing the need for specialists in the Foreign Currency Exchange markets around the world, Globex keeps expanding. 2006 saw Globex become an international company with offices opening in London, England and Auckland, New Zealand. Increased global transactions in Sydney, Australia recently had Globex’s staff grow to nearly 200 employees. Globex is poised to continue moving forward by having the best foreign currency exchange rates in the world, along with its unparalleled customer service.

Globex Foreign Exchange continues to grow and offer the best foreign exchange rates in the world for both Corporate and large scale individual transactions.

Comments