'Fiduciary duty' presentation slideshows

Professional Ethics for Compliance Professionals

NRS Fall Compliance Conference November, 6, 2009 Las Vegas, NV A Continuing Education Offering for the Compliance Professional. Professional Ethics for Compliance Professionals. Kurt Wachholz President and CEO Wellspring Compliance Ann Oglanian President and CEO ReGroup, LLC. Agenda.

643 views • 43 slides

Chapter 39 Limited Liability Companies and Limited Liability Partnerships

Chapter 39 Limited Liability Companies and Limited Liability Partnerships. Limited Liability Companies. An unincorporated business entity that combines the most favorable attributes of general partnerships, limited partnerships, and corporations. An LLC may elect to be taxed as a partnership.

923 views • 38 slides

Corporate Governance & Your Fiduciary Duty

Corporate Governance & Your Fiduciary Duty. Bill Sokol Weinberg Roger & Rosenfeld wsokol@gmail.com. Do You Have A Fiduciary Duty to Engage in Issues of Corporate Governance?. YES. The Simple Logic. If A: Congress enacts ERISA If B: States each enact own ERISA standard

467 views • 34 slides

OWCAM (Oregon Washington Community Association Managers)

OWCAM (Oregon Washington Community Association Managers). PRESENTS WHEN IS A GIFT A BRIBE?. HOW IMPORTANT IS ETHICS? . TRY NOT TO BECOME MEN OF SUCCESS, RATHER BECOME MEN OF VALUE. Albert Einstein OWCAM - When Is A Gift A Bribe?.

384 views • 30 slides

462 views • 29 slides

ERISA Retirement Plan Fiduciary Responsibility Practicing Fiduciary Prudence Workshop

1.21k views • 28 slides

Implementing a Medicare Compliance Program

Implementing a Medicare Compliance Program. Implementation of Medicare Compliance Program. Rules & procedures to reduce chance of wrongdoing High level manager to oversee the program

402 views • 26 slides

Board of Directors Roles and Responsibilities

2.1k views • 23 slides

Insurance to Protect ESOP Trustees OEOC 20 th Annual Conference Friday, April 21, 2006

Insurance to Protect ESOP Trustees OEOC 20 th Annual Conference Friday, April 21, 2006. Jeffrey S. Gelburd, CPCU, ARM Two North Second Street, 10th Floor Penn National Plaza Harrisburg, PA 17101. \USHSBFP01GroupsdepCustom ProgramsOEOC Presentation 4-21-06.ppt.

389 views • 23 slides

Agency Law

Agency Law. Chapter 4. Agency Law. What is an agent? Any individual who represents a second individual or entity in negotiations with a third individual or entity. What is agency law?

420 views • 23 slides

Use of Non-Public Information and Other Securities Law Issues

Use of Non-Public Information and Other Securities Law Issues. Trading Ahead of Research Reports. FCMs and IBs may not trade based on an as yet unpublished research report Firewalls should be used. Case Study. Trading Ahead of Research Reports. Block Trading. FCMs and IBs:

326 views • 22 slides

Keeping Up With DC

457 views • 21 slides

Climate Risk Mitigation strategies and policies

Climate Risk Mitigation strategies and policies. Dan Bakal Ceres A Presentation for Climate Change Policy En Banc February 23, 2005. The Big Picture. The relationship between capital markets and corporations is changing

443 views • 21 slides

ERIC Legal Developments in Employee Benefits

ERIC Legal Developments in Employee Benefits. March 21, 2018. This call is being recorded. To receive a copy of the call, please contact ERIC Member Services at memberservices@eric.org. Participation Procedure. Please place your line on mute

488 views • 20 slides

A Registered Investment Advisory Firm

We Are Different. A Registered Investment Advisory Firm. We Are Different. Alhambra. Traditional. Alhambra Your Personal CFO. Fiduciary Duty : We have a legal obligation to do what is in your best interest. Conflicts of interest, if any, must be disclosed.

357 views • 16 slides

Types of Business Organizations

Types of Business Organizations . Sole proprietorships Partnerships General Limited Corporations Limited Liability Companies. General partnerships . Created informally by agreement Each partner personally liable Partners owe fiduciary duty to partnership

402 views • 11 slides

Foundations of Occupational and Professional Regulation

2007 Annual Conference. Foundations of Occupational and Professional Regulation. Claudia Newman NCA Associates. Protection of the Public Interest. The primary mandate for both you and your members. To fulfill realize this mandate, as the governing body, .

236 views • 11 slides

Insider Trading

491 views • 10 slides

GOOD FAITH, HONESTY & PRUDENCE

364 views • 8 slides

Attorney malpractice: damages and other remedies

232 views • 8 slides