You are viewing docs with the following tags: compliance - View All Docs

Filter by: AttachmentsSearchTag

 Has attachment Title Author Created Last Edited Group Tags
Carrie F. Bekker Executive Portfolio
Carrie F. Rinehart-Bekker May 19, 2019 May 19, 2019 alternative trading systems, AML, annuities, ASEAN, ATS, blockchain, Blue Sky, broker/dealers, BSA, Caribbean, commodities, Compliance, compliance programs, contracts, corporate, crypto, cyber, due diligence, EMEA, FinCEN, FINRA, fintech, hedge funds, international, investment advisers, IPOs, legal, licensing, M&A, MSB, mutual funds, NYSE, offering documents, offshore, privacy, private placements, prospectuses, registration, RegTech, risk management, SEC, Securities, state, tech implementation, trading exchanges, training, USA PATRIOT Act, variable insurance products, written policies and procedures
BCCP Client Services Portfolio
Carrie F. Rinehart-Bekker May 19, 2019 May 19, 2019 alternative trading systems, AML, ATS, bitcoin, blockchain, BSA, Compliance, consulting, crypto, FinCEN, FINRA, fintech, ICOs, licensing, MSB, registration, risk management, SEC, smart contracts, state, training
Cargo Preference Blockchain Compliance and Marine Accountability Platform

The Department of Transportation Maritime Administration’s Office of Cargo and Commercial Sealift is responsible for monitoring and assuring compliance wit […]

Anthony Shuler November 20, 2018 November 20, 2018 Cargo, Compliance, government, Mariners, Maritime, Shipping, Transportation

There are no docs for this view.

Viewing 1-3 of 3 docs