...Compliance Program / Annual Procedure Review Rule 206(4)-7 of the Investment Advisers Act creates a fiduciary responsibility for investment advisers to review annually their policies and procedures to determine their adequacy and the effectiveness of their implementation. As part of this review, all policies, procedures and responsibilities of an adviser must be reviewed, and the findings documented. The review should consider all factors that might suggest a need to revise the policies and procedures including any compliance matters that occurred during the year, any changes in the adviser’s or its affiliates business activities, or changes to applicable regulations. Reviews should be conducted by independent individuals (e.g., the department manager) not immediately responsible for implementation of a particular procedure. An overall review and approval of the adviser’s policies and procedures should be completed by the Chief Compliance Officer and should be submitted to the adviser’s Management Committee or Executive Officers for Final Action. |Procedure | |Summary & |Recommended |Reviewer & | |Completion Date & | |Reviewed |Findings |Conclusions |Change/Update |Date of Review |Review by CCO |Final Actions ...
Words: 276 - Pages: 2
...Riverside Casino and Golf Resort / Stacy Benson Topic Title Performance Reviews NO. This title won’t work. What about performance reviews? If you were doing a simple research paper you could write about performance reviews based on research alone. In this Sr Paper you must determine the state of the art based on your Literature Review. Then you will give the background of the problem and discuss it. This must all lead to two Courses of Action (COAs; solutions) that are tied to your title and problem. You need a “product” such as a process, a plan, a strategy, a program – something that can be recommended and implemented. Problem Statement (if not finalized post a draft – focus on the "pain.") The problem is that after initial training employees are not being reviewed for current performance. Suggest that after this initial statement you add something more about the problem. Brief Topic Overview The casino is experiencing a high turnover rate of employees because after their initial training they are put on the floor without any further review. In the handbook employees are supposed to have a review after 90 days but they are not being implemented. This leaves the casino with under qualified employees that eventually terminate their employment due to not feeling able to meet the high demands. The solution to this problem, if it is the problem, is simple. Just IMPLEMENT PERFORMANCE REVIEWS. You can see...
Words: 640 - Pages: 3
...Peer Evaluation for MKT 420 Your Name: KYRIA AHO Fill in the blanks for each team member (but not yourself) as if you were writing an evaluation or recommendation for that person. ONLY ONE TEAM MEMBER MAY BE RECOMMENDED FOR PROMOTION. Consider if you were assigned to another team, which team member you would want to be your boss. Consider who you’d like to work with again. Consider who you’d go to extremes to avoid working with if you had a say. Here is the format for peer evaluations. Include the team member’s full name (1), and be specific about (2) what the team member did or did not do. At the end, if you were employed with this person, (3) would you recommend (a) Promoting, (b) Retaining (Keep in position), (c) Retaining with counseling to improve performance or (d) firing/replacing. Please keep in mind that in most business situations, only one person in a group would likely be promoted. Thus a recommendation to promote would be reserved for the truly exceptional team member Team Member 1: LEXA CREAMER As a team member with Lexa Creamer on the team marketing plan project, I feel qualified to speak about his/her job performance. Lexa’s contribution to the project was timely and significant. She accepts correction easily and is always willing to assist in any way that she can. I believe Lexa’s strengths are enthusiasm and timely submission of her work. I believe her weakness is the lack of flexibility. Lexa had to miss some of the meetings due to time conflicts...
Words: 669 - Pages: 3
...Why did we choose that particular topic or article to be reviewed? As for this assignment, our group has all agreed to choose the article titled ‘Stress Management’ as the article that we need to review. Why we chose this article is absolutely because it is easy to be reviewed. This article has much points and ideas in it. Besides, we chose this article because it is exactly and definitely related to our life as university students. So, we can easily put some ideas as our experiences to review this article. This article teaches us much about stress; what stress actually is and what do make us stressed. This article also gives us knowledge about some stress-management techniques as to overcome this particular problem. As students, we cannot run away from this problem, and we need to face it throughout our whole life as a human. Not only students, all human beings will face any kind of stress either teachers, farmers and also ministers. This article also tells us that stress is not always bad, but sometimes stress can be beneficial to us when it makes our work better and done energetically. We deeply think about how we will think to review this article so we will not face too much obstacle in order to finish this group assignment. Making notes on the article read The five articles that we choose is only about two pages each and these articles have many points and ideas to be taken and used. We need to take notes on these articles to determine which article is the best to be...
Words: 645 - Pages: 3
...com/product/engl-135-entire-course/ Contact us at: SUPPORT@ACTIVITYMODE.COM ENGL 135 ENTIRE COURSE 1. ENGL 135 Week 1-7 All Discussion Questions 2. ENGL 135 Week 1 – Restaurant Evaluation 3. ENGL 135 Week 2 – Omnivore’s Dilemma Book Review 4. ENGL 135 Week 3 – Position Paper 5. ENGL 135 Week 4 – Research Proposal 6. ENGL 135 Week 5 – Annotated Bibliography 7. ENGL 135 Week 6 – Research Paper Draft ENGL 135 ENTIRE COURSE To purchase this visit following link: http://www.activitymode.com/product/engl-135-entire-course/ Contact us at: SUPPORT@ACTIVITYMODE.COM ENGL 135 ENTIRE COURSE 1. ENGL 135 Week 1-7 All Discussion Questions 2. ENGL 135 Week 1 – Restaurant Evaluation 3. ENGL 135 Week 2 – Omnivore’s Dilemma Book Review 4. ENGL 135 Week 3 – Position Paper 5. ENGL 135 Week 4 – Research Proposal 6. ENGL 135 Week 5 – Annotated Bibliography 7. ENGL 135 Week 6 – Research Paper Draft ENGL 135 ENTIRE COURSE To purchase this visit following link: http://www.activitymode.com/product/engl-135-entire-course/ Contact us at: SUPPORT@ACTIVITYMODE.COM ENGL 135 ENTIRE COURSE 1. ENGL 135 Week 1-7 All Discussion Questions 2. ENGL 135 Week 1 – Restaurant Evaluation 3. ENGL 135 Week 2 – Omnivore’s Dilemma Book Review 4. ENGL 135 Week 3 – Position Paper 5. ENGL 135 Week 4 – Research Proposal 6. ENGL 135 Week 5 – Annotated Bibliography 7. ENGL 135 Week 6 – Research Paper Draft ENGL 135 ENTIRE COURSE To purchase this visit following link: http://www...
Words: 498 - Pages: 2
...technology discussion forum . It provides its readers with detailed specs for thousands of computer hardware products, reviews, expert analysis and comparisons. Take the Asus X99 Rampage V Extreme motherboard for example, it belongs to a well know product line known as the Republic of Gamers (ROG). Overclock3D takes this motherboard and breaks it down piece by piece, they go into details of each aspect of this motherboard, from new features that was not available in previous Rampage motherboard models, to over clocking options, and even enhance their review with videos, screen shots, and bench testing results to verify motherboards' specs and capabilities. For the computer enthusiast, this website with an easy to navigate layout, and attractive format, brings all the new hardware to one place, and provides a tremendous amount of information regarding computer hardware. Additionally, the site has several tools that gives its readers the opportunity to discuss, ask questions, and expand on hardware uses through comments, forum, frequently asked questions and other threads in the Community section. Overclock3D was initially dependant on users input through the forum platform. Their enthusiasm however turned into a full scale professional publication, the website became a registered company in the UK and expanded its operations into other websites as well. Reviews done to hardware such as the Rampage V are now handled by professionals like Tom Logan their Director and Chief Editor...
Words: 308 - Pages: 2
...Butterfly leaked just 24 hours before its official release date, March 15, and that most major music websites published their reviews of the album within three days of the leak. On such an immediate deadline for filing a feature-length album review, it’s nearly impossible for a young critic to stunt. At Jezebel, Clover Hope just wrote the truth. With bits of personal and political context interspersed, Hope framed her review as a first-take impression of the “overwhelming blackness” of an album about funk and self-destruction. “This initial feeling is suffocating,” Hope wrote. “It’s the essence of Dis Tew Much.” I think most fans and critics would agree that Kendrick Lamar's To Pimp a Butterfly is, indeed, overwhelming. I reviewed To Pimp a Butterfly in about 72 hours. In that narrow band of time, I "got" the album's messages and themes but couldn’t grasp the motivations for the album’s sound. Why, in. You’ll recall that To Pimp a Butterfly leaked just 24 hours before its official release date, March 15, and that most major music websites published their reviews of the album within three days of the leak. On such an immediate deadline for filing a feature-length album review, it’s nearly impossible for a young critic to stunt. At Jezebel, Clover Hope just wrote the truth. With bits of personal and political context interspersed, Hope framed her review as a first-take impression of the “overwhelming blackness” of an album about funk and self-destruction. “This initial feeling...
Words: 332 - Pages: 2
...1.You must take the Blackboard Basics for Students Course. Then take the Blackboard 101 quiz and receive a “2” as a score. 2.You must complete the Advanced Leader Course Common Core (ALC CC) DL Student Letter of Agreement. You must also fill out all required information. You must recieve a total score of "6". 3.You must fill out all required contact information, including your NCO Support Channel and personal information using the spreadsheet that is provided and receive a "1" as a score. 4.You must read and review the ALC Course Syllabus. Once you understand all items covered in the Syllabus you must click the "Mark Reviewed" button at the bottom left corner. The Syllabus status will then change to "Reviewed." 5.You must read and review the ALC ALARACT 232/2010. Once you understand all items covered in the ALARACT 232/2010 you must click the "Mark Reviewed" button at the bottom left corner. The ALARACT status will then change to "Reviewed https://ncoes.ellc.learn.army.mil. Navigation Instructions You must access the course in accordance with these directions to successfully begin your course. To begin your course you will access www.train.army.mil. On the top right hand side you will click the login button, use your AKO user name and password. Click on the “My Courses” tab, then “My Active Enrollments”. The Advanced Leaders Course Common Core (ALC-CC) link will appear; linking you to your course. After this initial login, you will then use https://ncoes.ellc.learn.army...
Words: 266 - Pages: 2
...Web Navigation Steps First, familiarize yourself with O*NET by reviewing the information provided on the About O*NET page. Select the Content Model link, and review the conceptual model underlying this project. Return to Home (by clicking on the O*NET logo at the top of the page) and select the Visit O*NET OnLine link. Go to the My Next Move and enter an occupation you are familiar with (e.g., one you have held or hope to hold) in the keyword search box, or use the Industry search feature if you prefer.) Select the Search or Browse button. Select the occupation that best matches what you are looking for (or use other search terms until you find something that interests you) and review all of the data provided for that position. After completion of these navigation steps, proceed to complete the assignment by discussing the learning questions below. Learning Questions How easy was it to find the specific occupation you were looking for, and how comprehensive was the information provided about that occupation? What did you think of the occupations O*NET suggested as matching your skills? Was the occupation you are in or preparing for among those listed? As an HR professional, how could O*NET be useful in conducting a job analysis? Explain specifically how you would use the data from this site to assist your organization. As a director of human resources, would you have your staff use this site? Why or why...
Words: 251 - Pages: 2
...paid to the hard factors first, transformation programs will break down before the soft elements come into play. * A study by Harvard Business Review revealed that outcome (success or failure) of a change program depends on four hard factors * Duration * Integrity * Commitment * Effort Page 2 – DURATION * Refers to the project duration, particularly the time between project reviews. * It is assumed that the longer a program, the more likely it is to fail. * Window of opportunity will close, key objectives will be forgotten, key supporters will lose enthusiasm are some of the reasons for this assumption. * Although, contrary to popular perception, a long project that is reviewed frequently, is more likely to succeed than a short project that is not reviewed frequently. * Time between reviews is more critical than a project’s life span. Page 3 – * Transformation projects should be reviewed at least once in two months since the probability that change initiative will run into trouble rises exponentially if time between reviews is more than eight weeks. * The higher the complexity of the project, the more frequently it should be reviewed to keep the project on the track. * Scheduling milestones and assessing their impact are the best way by which executives can review the execution of projects, identify gaps, and spot new risks. * Most effective milestones are those that describe major actions or achievements...
Words: 260 - Pages: 2
...in Darwin. IAW Ref F. Available support from the Defence Community Organisation may be provided at his location for specialist services if the AD355-Assessment of Assistance form found on the DCO website finds him eligible for assistance in his new location. 15. LCPL Watson should be counselled on how a compassionate posting may affect his future suitability for promotion so that he may take all of these factors into consideration. He should consider discussing long term prospects with his Career Advisor if he intends to remain in Defence long term; Compassionate postings are only short term and in this instance should not be recommended. CONCLUSION 16. This brief has outlined the issues afflicting LCPL Watson’s performance during the review period. He has acknowledged that he wants to remain an active member with Defence. LCPL Watson has acknowledged his recent actions within the Platoon have not helped in providing a good example for his junior soldiers and has expressed a keen interest to improve. RECOMMENDATION 17. The following recommendations are made: a. LCPL Watson and Ms Low apply for recognition of interdependent b. LCPL Watson looks at the availability of a service residence and or submits a live out application if nothing is available c. LCPL Watson applies for recognition of a dependant with special needs d. LCPL Watson looks into applying for a general purpose loan through The Army Relief Trust Fund e. LCPL Watson consider applying through the DCO for...
Words: 1203 - Pages: 5
...The The Collected Works of Billy the Kid: Left Handed Poems Assignment Test Object Thing(ness) 1. Read this (this thing 1 cm. below) P. J. O’Rourke, the political satirist, reviews in this issue a new book about Starbucks. He told us, in an e-mail exchange, how he brews his own reviews: “I read something I’m reviewing the same way I read other things except more so. That is, I already keep a commonplace book (a file folder, really) for quotations, ideas, information, etc. If I’m going to write a review I mark the work for myself, but besides underlining what interests me I also underline what — as far as I can tell — interested the author. By the time I’m done I have an outline for the review. All I have to do is figure out a smart-aleck lead sentence and a wiseacre ending.”[1] 2. Then read the “How to write a Book Review” article on the very next page. Yes, it is a bit long but the information is really quite good. 3. Over the week go to www.salon.com or to http://www.nytimes.com/pages/books read at least five reviews and then divide them into good and bad reviews. Think about the specific qualities that define the better ones. The article from step two of this process will be helpful at this point. At the end of the day a good book review sees an interesting pattern or spins your understanding of the book in a new and delightful way…and importantly is enjoyable to read (as a writer you need to have fun savaging the book, exploring it, dwelling on it, falling...
Words: 2230 - Pages: 9
...from wounds sustained in a military engagement. Sidney’s major writings probably belong to the period 1578–84, though none can be dated with certainty. Arcadia, a prose narrative interspersed with verse, combines chivalric romance, pastoral, comedy, and debate on ethics and politics. It survives in a complete earlier version and an unfinished expanded version. Astrophil and Stella, a cycle of 108 sonnets and 11 songs, is one of the first English adaptations of Petrarchan love poetry. By turns witty and tormented, it is a lightly disguised and no doubt fictionally embellished treatment of Sidney’s thwarted love for Penelope Devereux, sister of the Earl of Essex. The most likely date for the composition of the Defence is 1580–82. Like Sidney’s other writings, it circulated only in manuscript during his lifetime, and was published by two separate printers in 1595 under the titles Defence of Poesy and Apology for Poetry. It is one of several English defenses against moralistic or philosophical attacks on poetry, drama, and music. One of these attacks, Stephen Gosson’s School of Abuse (1579), was dedicated to Sidney and possibly prompted the writing of the Defence. The Defence has the structure of a classical oration, a literary form much utilized in Renaissance education and later adopted in Milton’s...
Words: 1045 - Pages: 5
...were new in my consciousness. I entered, they were a family of five: all had arisen as on the night of a fire. I shook hand after hand, saw face after face, that said nothing to me: they were doors that I did not see before in the street, eyes that did not know my face, and in the dead of night, after welcoming me, I succumbed to fatigue, to sleep my country’s anguish… “A poem is the perfect form of expression.” Discuss this statement using reviews of at least one poem and a number of articles, which discuss the poet’s work. Poet ~ Pablo Neruda Poem ~ Poema 20, Canto 10 – The Fugitive Introduction Why poetry? One argument dates back to Aristotle, to the famous distinction between history and poetry: history reports what happened and is therefore subject to all the constraints and imperfections of actual life; poetry by contrast uses words in their fuller potential and creates representations that are more complete and meaningful than nature can give us raw. In the quest to explain why poetry is the perfect form of expression, the works of poet...
Words: 1729 - Pages: 7
...three children, and from 1976 onwards they lived together in Sandymount, Dublin. A lot of Seamus’s poems “tend to revolve around several common themes” and “are all interconnected”. His memories of his childhood and death are two major themes, which make an appearance in many of the poems he has written. Due to where, and in that certain time period, he grew up in, a lot of Seamus’s poems also focus on nature, farming, his homeland, war, family and religion. There are many critics that suggest, Heaney’s poems on the Northern Irish troubles which he liked to write about had an “overcautious approach, aesthetically and politically, and [gravitated] instinctively towards Parnassian inoffensiveness” (Parnassian: of or relating to poetry). Reviews also criticise the fact that Heaney was a “peddler of nostalgia” and he only owed his success to the sponsorship of ‘Faber and Faber’ (a book publisher). However more commonly it was known that he was “a poet rated highly by critics and academics yet popular with 'the common reader.” He also won 17 major prizes including a Nobel Prize in...
Words: 1085 - Pages: 5
