...Securities, Commodities, and Financial Services Sales Agents Significant Points • Most positions require a bachelor’s degree in busi- • Applicants face keen competition for jobs, especially • Turnover is high for newcomers, but those who are successful have a very strong attachment to their occupation because of high earnings and considerable investment in training. in investment banks. ness, finance, accounting, or economics; a master’s degree in business or professional certification is helpful for advancement. Nature of the Work Each day, hundreds of billions of dollars change hands on the major United States securities exchanges. This money is used to invest in securities, such as stocks, bonds, or mutual funds, which are bought and sold by large institutional investors, mutual funds, pension plans, and the general public. Most securities trades are arranged through securities, commodities, and financial services sales agents, whether they are between individuals with a few hundred dollars or large institutions with hundreds of millions of dollars. The duties of sales agents vary greatly depending on their specialty. The most common type of securities sales agent is called a broker or stock broker. Stock brokers advise everyday people, or retail investors, on appropriate investments based on their needs and financial ability. Once the client and broker agree on the best investment, the broker electronically...
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...seemed that the number of new customers registering through their customer portal had dropped drastically over the past last five months. The company has noticed anomalous traffic on port 80 of the Web Server on the DMZ. The edge router’s logs showed that the traffic started six months ago and ended five months later. They noticed five months ago that traffic from the Web servers to the internal application servers decreased each day, although the inbound requests on port 80 remained about the same. Over the last four months, Web server logs contained many http “Post” statements followed by the Website address of one the company’s main competitors. All of the post statements seemed to appear in the logs after new users would click “submit” to register. Based on the information that has been provided it seems that a competitor has been able to compromise the company’s network. This has allowed them to reroute network traffic from users that are attempting to register through the company’s portal to their competitor’s site. The next step in investigating the issue would be to complete an assessment of the network. A review of the traffic that is produced in and out of the company’s network is key to understand what is going on with the network. It is critical to select the appropriate personnel to make up the team that will oversee the security...
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...------------------------------------------------- Rhombus, Inc. Company Security Policy Rev 1.1.15.12.4 Dec 2015 Editors: Rhombus, Inc. Policy Team 1 Rhombus, Inc. 14 1.1 About This Document 14 1.2 Company History 14 1.3 Company Structure and IT Assets 14 1.4 Industry Standards 15 1.5 Common Industry Threats 15 1.6 Policy Enforcement 16 2 Credit Card Security Policy 17 2.1 Introduction 17 2.2 Scope of Compliance 17 2.3 Requirement 1: Build and Maintain a Secure Network 17 2.4 Requirement 2: Do not use Vendor-Supplied Defaults for System Passwords and Other Security Parameters 18 2.5 Requirement 3: Protect Stored Cardholder Data 19 2.6 Requirement 4: Encrypt Transmission of Cardholder Data across Open and/or Public Networks 20 2.7 Requirement 5: use and Regularly Update Anti-Virus Software or Programs 20 2.8 Requirement 6: Develop and Maintain Secure Systems and Applications 21 2.9 Requirement 7: Restrict Access to Cardholder Data by Business Need to Know 21 2.10 Requirement 8: Assign a Unique ID to Each Person with Computer Access 22 2.11 Requirement 9: Restrict Physical Access to Cardholder Data 22 2.12 Requirement 10: Regularly Monitor and Test Networks 23 2.13 Requirement 11: Regularly Test Security Systems and Processes 25 2.14 Requirement 12: Maintain a Policy that Addresses Information Security for Employees and Contractors 26 2.15 Revision History 29 3 Acceptable Use Policy...
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...Security policy of the company in the use of e-mail. Communication via e-mail is an efficient and fast way, but has a high-risk level in the traffic of the information. The security policies of this company, determines that all e-mail must have a formal means of communication within or without of the company. E-mail is more efficient than other media such as voice mail, Fax, or regular Mail. For this reason, people can misunderstand that this is an informal means. However, the information in a e-mail, like a letterhead letter, must have complete integrity, being truthful and maintain a confidential information. As everyone know, the e-mail is not encrypted, thus it is transiting within a public network as unencrypted text, which may cause an information leak when it is intercepted and read by third parties and may cause a violation of confidentiality. It is very important have a more careful with the documents attached to sent email, because the risk of confiability grows up according increasing the information. When someone send an e-mail can commit different types of errors like send a e-mail to wrong person. This wrong can occur when a person type the first three or four letters of the word, and the system automatically recognizes a previously email address used. Another common wrong is when people send email with "reply all" instead of "reply". All employees of the company should take special care in the e-mail they receive, because a unknown addresses can contain...
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...commercial TTP, the issuance of digital certificates creates ongoing costs. At $70 million in 1999, revenues from outsourced PKI services are still small, reflecting the present lack of fully operable PKI solutions and the current focus on the business community. Revenues from PKI services will rise significantly as B2C E-commerce grows. Datamonitor expects revenues from outsourced PKI services to reach $595 million in 2003. For further information, contact Krishna Rao at Datamonitor on Tel: +44 (0)171 316 0001; Fax: +44 (0)171 316 0002; E-mail: krao@datamonitor.com; Web site: www.datamonitor.com. 4 60% of UK companies have suffered a security breach Results of the UK’s biggest and widely recognized survey on information security breaches reveals that 60% of companies interviewed have suffered a security breach within the past two years. Sixty-four percent of companies with a serious breach maintained that ‘nothing has changed’ since the breach occurred. Forty percent of...
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...Final Essay- security Threats for companies | Security Threats for Companies | Focusing on Employees | | Meadows Steven A CTR SITEC United States Special Operations Command | 4/17/2014 | American Military University TABLE OF CONTENTS Introduction 2 Chapter 1 4 External Threats 1.1 4 Malicious Code 1.1.a 4 Firewalls 1.1.b 6 Chapter 2 7 Physical Threats 2.1 7 Structure Outside 2.1.a 7 Structure Inside 2.1.b 7 Chapter 3 9 Internal Threats 3.1 9 Employee Access 3.1.a 9 Employee Attitude 3.1.b 10 Employee Training 3.1.c 11 File Permissions 3.2 11 Least Access 3.2.a 11 References 12 Introduction The internet has become a global resource for the working companies. Those who utilize the internet have near endless resources at their fingertips. This gives companies large advantages that those that don't utilize the information available to them on the internet. However, with great advantages, and information, comes great responsibility, and risks. The internet is also full of those who want to hurt companies, for reasons unknown to the company or for reasons that the company may be aware of, but is unable to prevent. Companies will never be able to eliminate the human factor from the work place. Even as self-automation and computers take over the human bodies for work and productivity, the human factor is still there. Someone, somewhere has to have access to the systems in order to maintain accountability, control, quality, and ensure...
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...assessments while decreasing purchases from those companies who refused. Along with its co-defendant, it is accused of bringing the combined economic power of the hotels against the suppliers who failed to pay. Western International Hotels Co.: Another defendant that was accused of violating the Sherman Act’s provisions with its refusals to deal with the unreasonable restraints on trade. Facts: In Portland, Oregon, representatives of hotels, restaurants and other business entities organized an association to attract potential conventions to their respective city. While at the convention, members were asked to make contributions equal to one percent of their sales in order to help finance. To help bolster their collections, hotel members, including the defendant Hilton Hotel Corp., agrees to give preferential treatment to the suppliers who paid their assessments. But for those who did not pay, actions were set in motion to help decrease the purchases from those particular suppliers. Procedure: The court found that the evidence was clearly sufficient to establish that the defendant hotels agreed to prefer suppliers who paid contributions over those who did not. The primary purpose and direct effect of the defendant’s actions was to bring the combined power of the hotels against those suppliers who did not pay. A corporation is liable for acts of its agents within the scope of their authority even when done against company orders. The court affirmed the ruling due to the...
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...The regulation of Monopolies & the Microsoft Trial Research Paper Macroeconomics By: Ashleigh Magliano Introduction: Larger companies can become big threats to other smaller companies that are in a given market due to their power and innovation. Sometimes this can become more than a threat, and it turns to no competition at all between the markets due to the monopolization of a company. A company becomes a monopoly when it gains the control of the industry and has obtained the ability to change the output prices in that specific industry. With such power this opposes a threat to other businesses. The government has set up specific regulations for monopolies to control what they sell, how they sell it, and what services are allowed for consumers. The importance of regulating monopolies is to keep the market alive, to allow freedom for other smaller businesses. This keeps up competition in the market, and also keeps the monopolies from doing anything unreasonable. This has led to numerous trials on major companies, one of the biggest cases would be the trial against Microsoft INC. Acts for Regulating Monopolies: In 1890 the Sherman Antitrust act was put into effect, named after the Senator of Ohio, John Sherman and was the first component for congress to prohibit trust.(General Records of the United States Government, Record number 11) The Sherman Act intended by congress to help keep up competition in markets. Unfortunately the act was written to vague there were...
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...Should Student Athletes Receive Stipends Past their Scholarships? Dylan Windom Arkansas State University Intercollegiate athletics has gained a massive amount of popularity over the past few decades. Student-athletes aren’t asking for millions of dollars, they are just asking for enough money to live off of. Television contracts, multi-million dollar coaches, and endorsements are the way to universities and coaches, so it is suitable to provide compensation for the student-athlete who makes these opportunities possible for each university. Proponents of compensating student-athletes for their participation in these revenue-generating sports have been named “pay-for-play” advocates (Haden, 2001, pp.674). “Pay-for-play” brings out the question whether student athletes should receive compensation beyond the tuition, room and board, and books or should they receive zero compensation. The pay-for-play system faces major obstacles such as employment status (workers’ compensation), any federal tax benefits, Title IX, antitrust under the Sherman Act. The first major obstacle that an athlete would face is attaining the employee status. In order for student-athletes to receive additional compensation for their participation in inter-collegiate athletics, they must be recognized as employees of the university (Haden, 2001, pp.674). To follow along with employment status, the pay-for-play advocates encounter additional obstacles in their quest to compensate the...
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...Otiz v. St. Peter's Case Study Joyce Alston Grand Canyon University: HTL-520 Legal Issues with Physicians December 3, 2014 Tafford Oltz was a nurse anesthetist who brought an antitrust action against physician anesthesiologists and the St. Peter’s Community Hospital. This case study involved the violation of antitrust laws deriving from other anesthesiologist in the hospital who not accepted having to compete with Oltz because he was said to have charged rates that were lower and the majority of physicians wanted to use his service. The case study involved the violation of antitrust laws deriving from the law suit issued by Tafford Oltz. (Corrigan and Donaldson, 2000) Oltz was forced out of his position due to illegal competing techniques by other anesthesiology. The agreement Oltz had with St. Peter’s included an agreement with the hospital that Oltz would provide eighty-four percent of his the surgical services. Oltz made the agreement based on the fact that he would be the primary anesthetist during the term of the agreed contract. The hospital was located in a rural community that it served therefore the patient population may have caused a strain on the family to obtain her level of interest. The lawsuit revealed that the other hospital anesthesiologist conspired to and thee competing with the nurse anesthetist’s lower fees and, as a result, entered into an exclusive contract with the hospital on April 29, 1980, in order to squeeze the nurse anesthetist...
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...Reflection of Critical Thinking Jolene Tucker Hum/114 February 16th 2015 Dr. Belinda Moses Reflection of Critical Thinking Has the United States peaked as a world power? No, the United States has not peaked as a world power. Reflection of the process of critical thinking: How does the process of critical thinking you used relate to or differ from the process you used to find content for your answer? I found that I am evaluating my way of thinking more. By researching a little, the discovery I made was that in 1890 our Congress enacts an antitrust act. It is a law that was designed to give competition and free enterprise. I broke up the monopolies to give everyone a fair shake. The Act of July 2, 1890 also known as the Sherman Anti-Trust Act states that “Every contract, combination in the form of trust or otherwise, or conspiracy, in restraint of trade or commerce among the several States, or with foreign nations, is declared to be illegal” (“Sherman Antitrust Act,” 2014). The Act also provides: "Every person who shall monopolize, or attempt to monopolize, or combine or conspire with any other person or persons, to monopolize any part of the trade or commerce among the several States, or with foreign nations, shall be deemed guilty of a felony” (“Sherman Antitrust Act,” 2014). This act keeps consumers of big businesses from using dishonest means to raise prices falsely, such as deliberately producing too few goods to meet consumer demand and thereby...
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... Economies of scale could foster a monopoly because it deals with very large industries that have the ability to sustain substantial losses in order to reach their long term gains. Smaller companies that wish to enter the business just can’t afford the lost in capital or gains and need to make a profit now. These larger industries could go years’ operating in the red and effectively squeeze out their smaller completion that could not do the same. Some legal barriers that could cause a monopoly could be patents on inventions that are need to make the product. They could also be restriction on product, tax laws and government regulations. One government regulation that ensures the U.S. Postal Service will always be a monopoly is the law that was established that states the U.S. Postal service is the only company that can legally deliver first class mail. This law alone is a barrier for any new company that would like to start a post office business. Ownership of essential resources and cost could foster either a monopoly or oligopoly. By being the only company that has a certain item, resource, tool, machine that can produce a product you can effectively dictate how much of that product is the market and how much it will cost. If that resource (like gold) is rare, then only a few companies will have the resources and funding to sustain the losses it takes to start a new business (such as gold processing)....
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...the retrenchment of the senior managers and pilots made redundant by Jetair Ltd. The third concern is with regards to ‘excessive’ remuneration of Jetair Ltd.’s board. In examining these concerns, there are a number of legal areas that must be examined: firstly the relationship between Jetair Ltd. and JetairNZ Ltd. as a related body corporate and the various duties owed to both companies by their Board of Directors; the duties owed by the Board of Directors to both companies and the body corporate as a whole and the possibility of conflict of interest; the duty of care owed by the Board of Directors to their employees and the company as a whole; and finally the exploration of the remuneration of Jetair Ltd.’s Board of Directors as a reflection of the current financial situation of the company. The argument for and against the pursuit of legal action will be based solely upon relevant legislation and case law; therefore the conclusions drawn will be the recommendation for the employee associations in regards to the pursuit of legal action. Related Bodies Corporate – Holding and Subsidiary Companies Given that conducting business with an Australian-based workforce operations, business proved to...
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...Examination Paper ESI Companies is a small company in Bartlett, Tennessee. ESI Companies is proud of their credit of providing tactical security specialist, and solutions to relieve threats to the environment. They install and build security systems in courthouse, detention facility, transportation hub, office building, and production plant. The company has partnered with private industry, law enforcement, military agencies, and correctional and detention facilities to keep their operating environments safe and secure from the threats of criminal activity and terrorism. Organizational Structure ESI Companies small business organizational structure is or can be a partnership. They are comfort of knowing their professional posses the needed skills and expertise to assist with the customers design and build techniques with courthouse, detention facility, office building, production plant, and others. They also partner with customers for facilities renovations, and maintenance of their security system regardless of any unique and challenging security needs. ESI Companies requires the customer partner in the design and implementation of their standards of operation intended to reduce the risks of security catastrophes. ESI Companies believe in working together to design, implement, build, install, and support state – of – the – art electronic surveillance and security equipment for the business run smoothly and successfully. Management and Leadership ESI Companies employs culturally...
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...outs of internal controls. It will also tell why they are important not only to companies, but why they are important to investors, creditors, and even the public too. Internal controls are a serious of methods and measures that companies put in place to insure that errors or irregularities in the accounting process do not happen very often. In every company there is a chance of having one or more employees who are dishonest and may take from the company. Internal controls helps to keep this from happening on a regular basis. Internal controls have two primary goals. The first primary goal is to safeguard a company’s assets. This goal is to protect a company’s assets from being misused without permission, theft, and even robbery. The second goal of internal controls is to improve the consistency and correctness of a company’s accounting records. Internal controls accomplish this goal by decreasing the threat of errors or irregularities in the financial accounting process (Internal Controls, 2012). These two goals help make companies trust their employees and investors feel confident in their decision to invest in a company. Internal controls have not always been enforced. This is the reason for the collapse of Enron, Tyco, etc. The Sarbonese-Oxley Act (SOX) has helped make internal controls a requirement for all publically traded U. S. Corporations. SOX forces companies to pay attention even extra attention to their internal controls. The Sarbonese-Oxley...
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