Training Doyens

Increase ROI Return on Investment (ROI)  is defined as the ratio of net profit and financial investment of a business. It is the financial return a company receives from spending money on its business. For business owners, increasing ROI depends on how well they manage the company finances and business assets. In small businesses covering expenses requires well thought strategies to ensure that “less is more.” Often employees need to take care of multiple roles and work with limited resources to minimize investments and increase profits. However, be it small or big, for every business, it’s crucial that the ROI keeps on increasing. Although, business always comes with multiple risks, there are a few strategies that can help in increasing  ROI of your business: Analyze Company Finances You need to have a detailed financial map of your business that demonstrates the areas where your company is spending. This is crucial for developing an effective strategy for increa...

Every industry needs to evolve with time to keep up with the changing trends and business landscape. Challenges in the Banking industry is no exception. With time, bankers are encountering more risks and regulations, in light of growing concerns about third party relationships, workforce management and many other issues. Keeping in view all the concerns, banks and financial institutions are focusing more towards better strategies and modern technologies to deal with multiple challenges. Let’s have a look at the  major challenges that the banking industry is facing  and what should be the focus to overcome those challenges. Customer Centric Approach Since the 2008 financial crisis, several banks have changed their strategies regarding customer and market but their decisions still revolve around the regulatory requirements. Unlike other industries, not many banks have considered the costumer centric approach and have put enough efforts in understanding customers and mar...

OVERVIEW Russians Hacking the Elections, Activist Hacking for Political Reasons, Competitors Hacking each other.  Fraudsters hacking for Profit, Hackers for Hire.   Know why you are a target; learn how to incorporate policies and procedures and to test for the effectiveness of those policies and procedures.   Learn what you may be liable for even if you have a cyber plan. The regulators are constantly issuing alerts, and enforcements in the area of cyber-security in the financial industry .  They do this as a way to help protect the investor and maintain capital formation.  Advisors, Custodians, and Third Parties all work together to offer services to the Investor and each has a responsibility to keep the clients personal identifiable information safe as well as to defend and remediate in the case of an incident.  This session will review the cyber security landscape in the financial services industry. WHY SHOULD YOU ATTEND Comput...

OVERVIEW There have been significant deficiencies over the years sinceThe Custody Rule was amended.    It is imperative for Advisers to understand the rule and how to effectively manage and oversee the policies and procedures surrounding it in order to properly secure their clients’ assets and to avoid significant regulatory enforcement and penalties.  We will analyze best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule”.  We will explain the rule and the potential effect it may have on your firm and clients. SEC-registered investment advisers who have custody of their clients’ funds or are deemed to have custody of their clients’ assets under the rule must safeguard those assets as required by the SEC’s “custody rule.  The custody rule is designed to provide additional safeguards for investors against the possibility of theft or misappropriation by investment advisers who are registered with the SEC....

OVERVIEW Russians Hacking the Elections, Activist Hacking for Political Reasons, Competitors Hacking each other.  Fraudsters hacking for Profit, Hackers for Hire. Know why you are a target; learn how toincorporate policies and procedures and to test for the effectiveness of thosepolicies and procedures. Learn what you may be liable for even if you have a cyber plan. The regulators are constantly issuing alerts, and enforcements in the area of cyber-security in the financial industry.  They do this as a way to help protect the investor and maintain capital formation.  Advisors, Custodians, and Third Parties all work together to offer services to the Investor and each has a responsibility to keep the clients personal identifiable information safe as well as to defend and remediate in the case of an incident.  This session will review the cyber security landscape in the financial services industry. Financial Regulations of Cyber Security WHY SHOULD YOU...