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تقویت کنترلهای داخلی برای پیش گیری و کشف تقلب در شرکتهای بیمه ای

تقویت کنترلهای داخلی برای پیش گیری و کشف تقلب در شرکتهای بیمه ای. Hassan Jadidi QFP, MBA, CLU, CHFC, LUTCF. Arbitration Claims up 43% in 2009. Red Flags Trades. Improper and Excessive Trades Inappropriate Sales Unsuitable Sales Practice.

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تقویت کنترلهای داخلی برای پیش گیری و کشف تقلب در شرکتهای بیمه ای

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  1. تقویت کنترلهای داخلی برای پیش گیری و کشف تقلب در شرکتهای بیمه ای

  2. Hassan JadidiQFP, MBA, CLU, CHFC, LUTCF

  3. Arbitration Claims up 43% in 2009

  4. Red Flags Trades • Improper and Excessive Trades • Inappropriate Sales • Unsuitable Sales Practice

  5. The SEC Charged State Street Bank and Trust Company with misleading its investors about their exposure to subprime securities

  6. Wells Fargo – Possible Violations of Regulation of S.PS.P : protects private client information and Prohibits disclosure of non-Public Personal Information about clients to nonaffiliated Third Parties

  7. Discretionary Power Failure ofPower of Attorney • Discretionary Translation in Customers Account

  8. Structuring Deposits for • Currency Transition Reporting

  9. Record Keeping Requirements • Emailing Illustrations • Licensing and Registration • Replacing and Exchanging

  10. Focus on Fraud – Laser like Focus • Financial Scandals :Bernard Madoff 5o Billion Ponzi Scheme Allen Stanford 7.2 Billion Investor Fraud

  11. Selling Away Involvement in Private Securities Transition

  12. SMRSSales Material and Compliance Review System

  13. LPL Financial representations charged with not keeping client personal Information in safe place • Piper Jaffray & Co. for emailing Issues • West Park Capital for supervisory failure • Axe Equitable for Improper disclosures on replacement of Annuity and Life Insurance Polices

  14. Kenneth Starr celebrity financial advisor defrauding clients 30 Million Fraud

  15. Pathway to Prosperity or Ponzi Sheme? • Nicholas Smirnow- Charged with Conspiracy and Securities دروغ گوئی و ادعای برگشت سرمایه بسیار بالا سال زندان 20

  16. Broker Barred for Selling Phony Financial Products, Stealing more than 1.9 M

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