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ACCP
Course for Compliance Officers – Update:
Remember
the course for compliance officers that the ACCP was working on –
trying to get someone to develop and launch? Well here it is! The
IFSE Institute has announced a new course offering developed
specifically for Mutual Fund Dealer compliance professionals and it
is contemplated by NI 31-103! It provides students with a
broad understanding of the rules and regulations in the financial
services industry; students learn about the role of compliance and
how to encourage a culture of compliance within their firm. To
register go to
www.ifse.ca or call IFSE at 1-888-865-2437.
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TIPS:
“How
to Make Decisions”
1. People make very different decisions when they focus on the
losses – emphasize the positive!
2. Don’t just make a pro and con list - add a rating system.
3. Sometimes agonizing over two options won’t get you anywhere – be
creative – you might find a better option you weren’t originally
considering.
4. Sometimes the decision just isn’t worth agonizing over – don’t be
afraid to flip a coin every now and again.
5. Incorporate long-term bigger picture thinking by asking what
would your 75-year-old self do?
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BOOKS
No One Would
Listen
A True Financial Thriller
Harry Markopolos (The Madoff Whistleblower)
Getting to Yes
Negotiating Agreement Without Giving In
Roger Fisher and William Ury and for the Second Edition, Bruce
Patton of the Harvard Negotiation Project
Harvard Business
Review
“Mousetrap” October 2009 Issue – “Spotlight on Risk”
Securities Litigation and Enforcement
Joseph Groia & Pamela Hardie
Advisor At Risk-
A Road Map to Protecting Your Business
Ellen Bessner
Click to learn more
Corporate Integrity
A Toolkit for Managing Beyond Compliance
Donna Kennedy-Glans & Bob Schulz
Manager’s Guide to the Sarbanes-Oxley Act
Improving Internal Controls to Prevent Fraud
Scott Green
Sarbanes-Oxley Ongoing Compliance Guide
Key Processes and Summary Checklists
Anne M. Marchetti
The Regulatory Craft
Controlling Risks, Solving Problems, and Managing Compliance
Malcolm K. Sparrow
Brokerage Fraud
What Wall Street Doesn’t Want You to Know
Stoneman and Schulz
Telling Lies
Clues to Deceit in the Marketplace, Politics, and Marriage
Paul Ekman
Life Strategies
Doing What Works/Doing What Matters
Phillip McGraw, Ph.D.
The Parent Conversation
Six Strategies for Transforming the Emotional and Financial
Future of your Aging Parents
Dan Taylor
Against The Gods
The Remarkable Story of Risk
Peter L. Bernstein
Email:
info@kegieconsulting.com |
