About
www.compliance-llc.com
Compliance LCC is a leading provider of compliance training, executive coaching and consulting to 36 countries
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Our areas of expertise:
Basel ii Capital Accord
MiFID (Markets in Financial Services Directive)
The US Sarbanes-Oxley Act
The European Sarbanes Oxley (8th Company Law Directive, E-SOX)
The Japanese Sarbanes Oxley (Financial Instruments and Exchange Law, J-SOX)
The European Union's Financial Services Action Plan (FSAP)
The Solvency ii, UCITS iii and Reinsurance Directives
Hedge Funds and Compliance
Regulatory Arbitrage
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Compliance LCC
1200 G Street NW Suite 800, Washington, DC 20005 USA
Tel: (202) 449-9750
Web: www.compliance-llc.com
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Web sites include:
A. Basel ii
Basel ii Training
Courses designed to provide with the knowledge and skills needed to understand and support Basel ii compliance.
www.basel-ii-training.com
Basel ii Training for the Board of Directors
The members of the Board of Directors not only need to exercise oversight, but also to direct the organization to use Basei ii compliance as a competitive advantage.
www.basel-ii-board-directors.com
Capital Requirements Directive Training
Courses designed to provide with the knowledge and skills for the implementation of Basel ii in the European Union
www.capital-requirements-directive-training.com
Basel ii Accord
(Information and documents used in our compliance training classes)
Basel ii: The sections of the accord in an easy to read format.
www.basel-ii-accord.com
Capital Requirements Directive
(Information and documents used in our compliance training classes)
The common framework for the implementation of Basel ii in the European Union. The directive in an easy to read format.
www.capital-requirements-directive.com
Basel iii Accord
(Information and documents used in our compliance training classes)
Basel iii: What is wrong in Basel ii – What will be included in the “even more sensitive” accord, Basel iii.
www.basel-iii-accord.com
Basel ii, Structured Products and Securitization
(Information and documents used in our compliance training classes)
Basel II and the securitization markets. What is different. The efforts to minimize exposure to sub-investment grade tranches, to avoid the significant amount of regulatory capital banks have to hold
www.basel-ii-securitization.com
B. Sarbanes Oxley
Sarbanes Oxley Training
Courses designed to provide with the knowledge and skills needed to understand and support Sarbanes-Oxley compliance.
www.sarbanes-oxley-training.com
J-SOX Training in Japan
Course: "From SOX to J-SOX: Lessons Learned from the Implementation of Sarbanes Oxley Act in the USA and the World"
www.j-sox-training.com
Sarbanes Oxley Act
(Information and documents used in our compliance training classes)
Sarbanes-Oxley Compliance: The Act in an easy to read format, Auditing Standards, resources.
www.sarbanes-oxley-act.biz
C. EU - Financial Services Action Plan
MiFID Training
Training and Presentations. From the four-level approach (the Lamfalussy process) to the MiFID implementation, the differences and the opportunities for competitive advantage in the EU and offshore.
www.mifid-training.net
MiFID Training for the Board of Directors
The members of the Board of Directors not only need to exercise oversight, but also to direct the organization to use the Markets in Financial Services Directive (MiFID) compliance as a competitive advantage.
www.mifid-board-directors.com
8th Company Law Training
The European Sarbanes Oxley: Similarities and differences between 8th Company Law Directive of the European Union and the Sarbanes-Oxley Act of the USA. Implementation and compliance training and presentations.
www.8th-company-law-training.com
Solvency ii Training
Courses and presentations designed to provide with the knowledge and skills needed to understand and support compliance with the Solvency ii and the Reinsurance directives of the European Union. The implementation of the Solvency II regime can benefit greatly from the experience and lessons learned during the Basel II projects in the world.
www.solvency-ii-training.com
Reinsurance Directive Training
Courses and presentations designed to provide with the knowledge and skills needed to understand and support compliance with the Reinsurance Directive of the European Union.
www.reinsurance-directive-training.com
Financial Services to European Clients
Providing Financial Services to the European Clients - For banks and financial organizations of non- EEA countries
Opportunities for regulatory arbitrage and competitive advantage for banks, financial organizations, hedge funds, collective investment firms and SIVs of countries outside the European Economic Area.
www.european-client.com
Financial Conglomerates Directive Training and Presentations
We can help your organization understand better the Financial Conglomerates Directive in the context of the Financial Services Action Plan of the European Union.
Common elements with the Capital Requirements Directive (Basel ii in the EU) and the Financial Services Action Plan.
www.financial-conglomerates-directive.com/Presentations.htm
UCITS iii training
From the Management Directive and the Product Directive, to UCITS iii compliant funds, sophisticated UCITS, hedge funds and alternative investments, onshore and offshore legal structures and products authorized under different regimes.
www.ucits-iii-training.com
European Exchange Traded Funds Training (ETFs)
UCITS iii and MiFID Training and Presentations. Providing Financial Services to the European Clients, Training and Presentations. ETFs based on alternative assets such as commodities with UCITS iii status. ETFs that are UCITS iii compliant domiciled in EEA countries.
www.etf-training.com
The Financial Services Action Plan
There are 42 original measures: Some are non-legislative, a few are regulations, and there are almost 30 directives. Over 20 of the original measures are likely to affect the financial sector.
www.financial-services-action-plan.com
The Markets in Financial Instruments Directive (MiFID)
(Information and documents used in our compliance training classes)
MiFID is a very important part of the European Union's Financial Services Action Plan. The directive in an easy to read format.
www.markets-in-financial-instruments-directive.com
European Savings Tax Directive (ESD)
(Information and documents used in our compliance training classes)
Tax competition and the European Union. The G-7 and the offshore financial centers (OFCs). Basel ii and the European Savings Tax Directive (ESD). The directive in an easy to read format.
www.savings-tax-directive.com
European Savings Tax Directive Training and Presentations
The Savings Tax Directive in the context of the Financial Services Action Plan of the European Union.
The tax competition: Higher-tax nations and the offshore financial centers. From the "automatic exchange of information" option to the
"withholding tax" option. Opportunities for a competitive advantage.
www.savings-tax-directive.com/Presentations.htm
The 8th Company Law Directive
(Information and documents used in our compliance training classes)
The 8th Company Law Directive is similar to the US Sarbanes Oxley Act. This directive is called the European Sarbanes Oxley. Although there are important similarities, there are also very important differences.
The directive in an easy to read format.
www.8th-company-law-directive.com
European Sarbanes Oxley
(Information and documents used in our compliance training classes)
After the US Sarbanes-Oxley Act, we have the Japanese Sarbanes-Oxley Act (J-SOX) and the European Sarbanes Oxley Act (8th Directive in the context of the European Union’s Financial Services Action Plan).
www.european-sarbanes-oxley.com
Financial Conglomerates Directive
(Information and documents used in our compliance training classes)
The Financial Conglomerates Directive tries to introduce supplementary supervision of financial conglomerates on a group-wide basis, in addition to both the prudential supervision of regulated entities on a standalone basis and consolidated supervision on a sectoral basis.
The directive in an easy to read format.
www.financial-conglomerates-directive.com
The EU Reinsurance Directive
(Information and documents used in our compliance training classes)
Reinsurance allows direct insurance undertakings have a higher underwriting capacity and reduce their capital costs. The Directive forms part of the European Union’s Financial Services Action Plan, which aims to create a single market in financial services in the European Union.
www.reinsurance-directive.com
UCITS iii
(Information and documents used in our compliance training classes)
UCITS stands for Undertakings for Collective Investments in Transferable Securities
The UCITS iii directive consists of two directives that regulate funds sold across the EEA
www.ucits-iii.com
European Exchange Traded Funds (ETFs)
(Information and documents used in our compliance training classes)
In the European Economic Area many Exchange Traded Funds are traded as cross border UCITS iii funds. Compliance and acknowledgement of the UCITS status is of paramount importance for the freedom to provide services in all 30 countries of the EEA
www.european-exchange-traded-funds.com
D. Other Web Sites
Regulatory Arbitrage
Regulatory Arbitrage is the practice of taking advantage of a regulatory difference between two or more markets.
Our key goal is to generate alpha, excess return over market performance. Alpha has always to do with the skills of the hedge fund manager. Skill-based investing makes the real difference.
www.regulatory-arbitrage.com
Anti-Algorithmic Trading
Algorithmic trading is the use of computer systems, programs and advanced mathematical models for entering trading orders. More and more often algorithms, not humans decide on aspects such as the timing, price and the quantity of orders.
Trading is very similar to war, and information is always a weapon.
www.anti-algorithmic-trading.com
Hedge Funds Compliance Training
Hedge Funds, Collective Investments, Structured Products, and the directives of the European Union. UCITS iii, MiFID, 8th Company Law, Capital Requirements Directive, legal structures, marketing of funds, management and administration at the 30 countries of the European Economic Area
www.hedge-funds-compliance.com
Board of Directors Compliance Training
Risks to serving directors have risen exponentially after the new Basel Capital Accord, the US Sarbanes Oxley Act, the European Sarbanes Oxley (8th Company Law Directive), the Japanese Sarbanes Oxley (Financial Instruments and Exchange Law, J-SOX), the European Union's Financial services Action Plan that includes MiFID (Markets in Financial Services Directive.
www.board-of-directors-compliance-training.com
Risk Committee Training
Presentations and training for the Risk Committee of the Board of Directors, that increase awareness and effectiveness. Special consideration is given to the new need to provide “evidence” and keep records and documents for years, and to new regulatory and legal obligations.
www.risk-committee-training.com
Risk Committee of the Board of Directors
(Information and documents used in our compliance training classes)
The Board of Directors has risk management responsibilities that are defined not only by best practices and guidelines, but also by laws and regulations. The Risk Committee must assist the Boards in assessing the risks to which the organization is exposed.
www.risk-committee.com
Off Balance Sheet
(Information and documents used in our compliance training classes)
From Enron and BCCI, to the Sarbanes-Oxley Act and Basel ii.
Off Balance Sheet Entities and items. If a company has an asset or a liability, and it's not on the balance sheet, then where is it?
www.off-balance-sheet.com
Compliance Training
(Information and documents used in our compliance training classes)
The European union's Data Protection Directive, Information Security Training.
www.compliance-training.net
Legal Risk and Compliance Research Project
(Information and documents used in our compliance training classes)
Legal Risk: The Achilles Heel of Corporate Governance.
www.legal-risk.com
Asbestos and Mesothelioma Research Project
(Information and documents used in our compliance training classes)
Asbestos and Mesothelioma Lawsuits and Settlements.
The Legal Risk: A Case Study
www.mesothelioma-and-asbestos.org
Solvency ii Association
Where preparation meets opportunity.
15+ of the best headhunters of the world are members of our association and add the members in their database, so you may have new opportunities.
www.solvency-ii-association.com
Compliance and Outsourcing Research Project
(Information and documents used in our compliance training classes)
Outsourcing was a way to reduce cost. Outsourcing becomes a way to transfer compliance
Outsourcing after Basel ii, Sarbanes-Oxley, and the European Union's Financial Services Action Plan.
www.compliance-and-outsourcing.com
Every single "personal branding expert" recommends membership to professional associations. At every stage of your education, training, and career, the Basel ii Compliance Professionals Association provides information and services you can use.
www.basel-ii-association.com
Membership in the Sarbanes Oxley Compliance Professionals Association makes you stand out from the crowd. You prove that you are a professional who cares, learns, and belongs to a global community of professionals. Benefits, resources, jobs.
www.sarbanes-oxley-association.com
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Contact Information:
Lyn Spooner:
1220 N. Market Street Suite 804
Wilmington DE 19801 USA
Tel: +1 (302) 342-8828
Email : lyn@compliance-llc.com
George Lekatis:
1200 G Street NW Suite 800
Washington DC 20005 USA
Tel: +1 (202) 449-9750
Email: lekatis@compliance-llc.com
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- Status
- Private Company