Viewing 1-2 of 2 docs
|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|
There are no docs for this view.