Global Investment House Global Investment House  
Search
rss
Brokerage - Compliance Function
Business Sectors
Investment Banking
Advisory
Equity Finance
Structured Finance
Global US Real Estate Fund
Global Opportunistic Fund
Global Opportunistic Fund II
GCC Real Estate Fund
Asset Management
MENA Asset Management
Equity
Fixed Income
Alternative Asset Management
International Asset Management
Global Funds
Hedge Funds
Private Equity Funds
Islamic Real Estate Funds
Equity Funds
Fixed Income Funds
Index Funds
Islamic Funds
Money Market Funds
Sectoral Funds
Global Asia Real Estate Fund
Private Equity Fund
Global Buyout Fund L.P.
Global Real Estate Ijarah Fund
Brokerage
Brokerage Overview
Services
Operations Function
Compliance Function
Brokerage Subsidiaries
Brokerage Network
Global OTC
Distressed Fund
The Zenith Fund
The Mayur Hedge Fund

Global has in place a well established compliance culture; one that is based on Basel’s Consultative Document entitled “The compliance function in banks” which was issued on 31 January 2004. It is an independent function (accountable to the Board of Directors) that identifies, assesses, and monitors its compliance risk covering regulatory sanctions, financial loss, or reputation loss which may come as a result of failure to comply with all applicable laws, regulations, and codes of conduct and standards of good practice.

The Compliance Group has designed a generic compliance program to ensure that the company is in compliance with: applicable laws and regulations issued by Central Banks where Global operates; Capital Markets Authorities and Stock Exchanges where Global is listed; reporting and disclosure obligations to the relevant regulators and to investors; ethical handling of conflicts of interest and confidential information.
 

 

 

 

 

Global Brokerage Network
Kuwait
Bahrain
Egypt
India
Jordan
Oman
Pakistan
Palestine
Tunisia