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… to, compliance experience, related career experience, training, and any other relevant factors related to the … to, compliance experience, related career experience, training, and any other relevant factors to the position. A …
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Federal Register, Volume 77 Issue 12 (Thursday, January 19, 2012)[Federal Register Volume 77, Number 12 (Thursday, January 19, 2012)]
[Rules and Regulations]
[Pages 2613-2629]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-792…
… the development and implementation of compliance training, monitoring and spot checking of first line …
… Responsibility and Accountability e. Independent Testing f. Training g. Recordkeeping 3. Section 75.20(d) and Appendix … framework, independent testing of the compliance program, training, and recordkeeping; Appendix A of the final rule … and audits; additional documentation for covered funds; training; and recordkeeping requirements. A banking entity …
… such functions on its own (including, e.g., through cross- training) or through written outsourcing arrangements, … such functions on its own (including, e.g., through cross- training) or through written outsourcing arrangements, …
… ISDA members to adapt systems, create and run internal trainings, and issue client communications; develop and … such as Germany, creation and delivery of job-related training which introduces changes to working practices such … participants to ``adapt systems; create and run internal training; issue client communications; and develop and …
… governing disposal, as well as appropriate employee training. The flexible standard for disposal in the proposed … governing disposal, as well as appropriate employee training. The flexible standard for disposal in the proposed …
… organization must maintain staff of an adequate size, training, and experience to effectively implement a … The self-regulatory organization must provide annual ethics training to all staff with responsibilities for the … organization must maintain staff of an adequate size, training, and experience to effectively implement a …
… perform the risk management procedures, define the special training, skills, experience, and industry tenure of those … perform the risk management procedures, define the special training, skills, experience, and industry tenure of those …
… expects that the benefit would include the avoided costs of training staff to differentiate between swap and non-swap … expects that the benefit would include the avoided costs of training staff to differentiate between swap and non-swap …