طه حبشي Habashi

 Conduct risk assessments; implement risk mitigation techniques and controls.
 Prepare compliance reports for reporting to internal committees and Board reports
 Significant day-to-day responsibility for management and ongoing evolution of the firm’s compliance programs.
 Conduct the FRA-required annual review of the Firm’s policies and procedures, including testing of the policies and procedures. Respond to regulatory inquiries and third party examiners.
 Review marketing materials and investor communications to ensure compliance with relevant laws and regulations.
 Review and approval of new products such as Funds.
 Work closely with Firm’s portfolio managers as well as middle and back office operations functions to address, from a compliance perspective, operational issues related to management of multiple accounts
 Conduct appropriate surveillance of business activities, including a review of investment allocations, investment guidelines and restrictions, specifically as it relates to the Firm’s registered investment products, performance dispersion across client accounts, and relevant investment guidelines.
 Ensure that appropriate controls are in place to mitigate the risk of Financial Crime, including anti-money laundering, fraud, bribery and corruption, insider dealing, market abuse and information security
 Provide ad-hoc compliance advice, guidance and support to the business, in respect of FRA rules affecting trading, investment and the Funds.
 Oversee the day-to-day administration of the Firm’s code of ethics/personal trading policies
 Identify risks and conflicts of interest related to the firm’s business model, Interact with various departments within the organization to ensure consistency in policies and procedures.
 Monitor key risks to the business and ensure that the risk management framework remains up to date - appropriately mitigating the relevant risks.
 Monitor new legal and regulatory developments and update policies and procedures accordingly.
 Manage the compliance of the company Funds Overseas and meeting their regulators requirements.
 Assist in drafting and evaluating policies and procedures with respect to the overseas Outsourced CIO business and asset management as a whole

Financial Supervisory Authority
EFSA is the market regulatory agency responsible for ensuring the
development of a transparent and secure market for investors in Egypt.
EFSA monitors market activity and facilitates capital growth by
requiring disclosure, encouraging more secure institutions for trading
securities Responsibilities: Ensuring efficiency
and transparency of practices in the capital market, and Making sure that
Brokerage firms and intermediaries are committed to Capital Market’s laws
and regulations, through the following key responsibilities: -
- Monitoring Real-Time price movements, market outcomes and
manipulations considering all primary factors such as prices, volume,
volatility, news and other events in order to detect any market activity that
could be deemed unusual.
- Doing Off-Line monitoring through analyzing historical data typically in
the range
of weeks, months and quarters.
- Reporting suspected cases each in a separate technical report to the head
of the surveillance team in order to report it to the inspection division.
- Performing monthly stock market analysis in order to forecast which way
the market is going. Part of this is executed by analyzing prices and volume
information found in charts along with, anticipating the history of the stocks
trading activity.
- Moreover, by reviewing material news and events that could ultimately
affect the stock’s price movements.

Review and investigate the reports received from the Department of
surveillance on the secondary market to verify the violations made by the
brokerage firms and breach of conditions and the laws of trading in the
market.
- Review the reports issued by the Department of Inspection, investigate the
irregularities detected during the inspection on the brokerage companies
and study the nature of the violations and make a report about the results.
- Investigate with the brokerage firms on suspected violations to listen to
their response and any other information related to the violation.
- Collect all documents and official papers related to the complaint made
by a company against another company or made by a client against the
company he was dealing with, which helps in the study of the complaint
and take appropriate decision.
- Study documents relating to the complaint submitted by the parties
based on relevant laws and procedures that is applicable in the EFSA.
- Listen to the parties involved in the complaint and take notes and collect
documents such as account statement, or buy and sell orders that can help
in deciding the complaint.

Payment Services Department, Network Services
Center (NSC)
Major duties:
- Making internal & external transfers - Handling salary sheets - Opening
and performing all of the maintenance operations on the customers’
accounts - Issuing check books, ATM & credit cards etc.
- Handling Special Category Customers- SCC lists & accounts -
Observing and reporting suspicious transactions.