CISI Global Financial Compliance case studies
CISI Global Financial Compliance · Put your knowledge to work in context.
The CISI Global Financial Compliance qualification sits within the professional qualifications portfolio of the Chartered Institute for Securities & Investment (CISI), a body that describes itself as representing over 54,000 members worldwide. It is aimed at compliance, risk and control staff, and at front-office practitioners whose roles touch regulatory obligations across more than one jurisdiction. The CISI Global Financial Compliance case studies are 5 cases and about 3,298 words.
1Reverse Solicitation Under Pressure: A UK Manager, a German Pension Fund and a Dublin Office
Trafalgar Asset Management is a UK firm authorised by the FCA to manage investments. Since Brexit it has no EU passport.
635 words, about 3 min2A 'Green' Compliance Rating at a Firm Expanding Into Dubai and Singapore
Meridian Capital Partners is a UK FCA-authorised investment firm with 420 staff and £6.1bn AUM. In 18 months it opened offices in Dubai (DIFC) and Singapore, which now generate 55% of revenue.
676 words, about 3 min3A Suspicious Trade, a Cyprus Transfer and a Relationship Manager's Dinner
Ardent Wealth manages £2.3bn for 1,800 clients. On 12 March its automated surveillance flags that client Mrs Chen, a 62-year-old retired pharmacist, bought £240,000 of shares in Halden plc on 9 March.
697 words, about 3 min4An 8.2% Mini-Bond Sold Through a Call Centre
Northgate Investments launched a six-year 'Secured Income Bond' paying 8.2% a year, secured against a portfolio of commercial loans. Between January and March the firm's 40-seat call centre sold £86m to 1,900 retail clients.
633 words, about 3 min5A £1.9m Client Money Shortfall Before the Weekend
On Friday 28 June at 16:10, the operations team at Kestrel Securities identifies a £1.9m shortfall in the firm's client money bank account. The reconciliation had not been completed for four business days because of a system migration.
657 words, about 3 min