FIRMA®
The Fiduciary and Investment Risk Management Association, Inc. (FIRMA) is the leading provider of current and relevant fiduciary and investment risk management education and networking opportunities to risk management professionals of banks, trust companies, investment advisors, broker-dealers, insurance companies and other providers of financial services. FIRMA has the objective of providing fiduciary risk managers with the tools and knowledge needed to perform their functions in the rapidly changing financial services landscape. Become a Member Today!
SAVE THE DATE
FIRMA National Risk Management Training Conference
April 28 - May 2, 2013
Las Vegas, NV
August 22, 2013
FIRMA/ABA Telephone Briefing
November 21, 2013
FIRMA/ABA Telephone Briefing
April 27 - May 1, 2014
FIRMA National Risk Management Training Conference - Orlando
April 19 - 23, 2015
FIRMA National Risk Management Training Conference - Nashville
Quiz Updated: 2013 Quiz #1
Posted: Tuesday, May 14, 2013
FIRMA FORUM Updated: Global Anti-Bribery and Corruption Compliance
Posted: Tuesday, May 14, 2013
NEW - 2012 FIRMA Training Videos
Posted: Wednesday, Jan 2, 2013
Announcing our ERISA Update video and more: http://thefirma.scholarlab.com/
Global Anti-Bribery and Corruption Compliance
A significant challenge for financial
institutions conducting cross-border business
By Sven Stumbauer
Financial institutions operate in an environment of ever-increasing laws and regulations, including Anti-Bribery and Corruption (ABC) laws, such as the Foreign Corrupt Practices Act (FCPA) and the U.K.Bribery Act (UKBA). Failure to adhere to these laws and regulations may subject them and their employees,officers, and directors to substantial fines, penalties and other serious consequences, including imprisonment. Managing the risk of bribery and corruption has become a common topic of discussion at board of directors’ meetings, particularly given the heightened level of scrutiny and enforcement activity by regulators, such as the U.S. Department of Justice (DOJ), the U.S. Securities and Exchange Commission (SEC), the U.K. Serious Fraud Office and the U.K. Ministry of Justice.
Senior Compliance Specialist - Edward Jones Trust Company
Posted: April 4, 2013
Trust Compliance Officer -- Citizens Business Bank
Posted: March 6, 2013
Trust Compliance Director -- Stifel Trust Company
Posted: February 22, 2013
Contact FIRMA to advertise your position.
FIRMA Strategic Partners
FIRMA is pleased to present a list of our Industry Partners:
FIRMA would like to thank our friends who sponsor our nationally recognized education and training programs. We would also like to thank our partner organizations who provide our members with additional resources that complement the training offered by FIRMA. The support of our sponsors and partner organizations is critical to our success in providing members with the quality training opportunities and networking forums they expect and demand.
Provided below are links to the websites of our current sponsors and partner organizations. We encourage all FIRMA members to visit these websites and to patronize these loyal organizations who serve FIRMA and our members so capably.
INDUSTRY NEWS
Mervyn King warns against 'demonising individuals' over banking failures - Telegraph.co.uk
Business - Google News 19 May 2013, 11:24 am
J.P. Morgan's Dimon Makes His Case
WSJ.com: US Business 19 May 2013, 11:05 am
LNG risks rise as US approves gas terminal in Texas - The Australian
Business - Google News 19 May 2013, 10:05 am
Facebook IPO-Glassdoor - Danbury News Times
Business - Google News 19 May 2013, 8:57 am
Timing Is Everything When It Comes to Benefits - Wall Street Journal
Business - Google News 18 May 2013, 8:36 pm
Will American's New Boarding Process Work? It Failed at Virgin America. - Forbes
Business - Google News 18 May 2013, 2:23 pm
U.S. Opens Door to More Gas Exports
WSJ.com: US Business 18 May 2013, 11:18 am
Mixed Transocean Results for Icahn
WSJ.com: US Business 17 May 2013, 11:01 pm
Starbucks Sets Sights on Vietnam
WSJ.com: US Business 17 May 2013, 10:50 pm
General Trust Discussion: OCC Bulletin 2012-18 comply59 posted on May 15, 2013, 8:31 pm:
Looking for some risk-based procedures for conducting ongoing review of fixed income securities. Believe we would use credit ratings as first level of review and do more work on securities that are either non-rated or in lower half of rating bands. Certainly would appreciate seeing procedure that others have put together. Thanks
Visit the discussion forum to exchange ideas with your peers today! >>