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Financial Times, Friday 13 March 2009

1 st Annual Compliance and AML Seminar 24 – 25 March 2009, Riyadh, KSA Panel Session 5: Compliance & Enforcement Marc Hambach, COO, Gulfmena Alternative Investments. Financial Times, Friday 13 March 2009. The regulatory lifecycle. Licensing Process. Application. License. Revocation.

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Financial Times, Friday 13 March 2009

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  1. 1st Annual Compliance and AML Seminar24 – 25 March 2009, Riyadh, KSAPanel Session 5: Compliance & Enforcement Marc Hambach, COO, Gulfmena Alternative Investments

  2. Financial Times, Friday 13 March 2009

  3. The regulatory lifecycle LicensingProcess Application License Revocation Referral Enforcement Actions Criminal Civil $$ $$

  4. “See you later – regulator!” Compliance team Training Policies procedures Dialogue & meetings Systems controls Compliance Monitoring Program Incentives for compliant behaviour Compliance awareness News & Intelligence Compliance Monitoring firm-wide responsibility

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