Search for: "DIVISION OF RISK MANAGEMENT"
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7 Nov 2015, 6:56 am
The Division of Enforcement’s Asset Management Unit has 75 professionals spread across all 12 SEC offices. [read post]
31 Mar 2015, 4:44 pm
Service management: The Library’s Information Technology Services (ITS) division is primarily responsible for providing IT services to the agency’s operating units. [read post]
6 Feb 2017, 7:25 am
DCPP claimed at a Case Management Conference with the court that the report: “’established’ neglect against both parents”. [read post]
18 Nov 2018, 8:30 pm
Mucchetti, Chief, Healthcare and Consumer Products Section, Antitrust Division, U.S. [read post]
1 Jan 2017, 4:37 pm
Securities and Exchange Commission: Actions Needed to Address Limited Progress in Resolving Long-Standing Personnel Management Challenges, GAO-17-65: Published: Dec 29, 2016. [read post]
26 Mar 2018, 3:20 pm
The SEC’s new guidance makes clear that to the extent “cybersecurity risks are material to a company’s business,” such discussion “should include the nature of the board’s role in overseeing the management of that risk. [read post]
18 Feb 2016, 10:24 am
Earlier this month, the Federal Deposit Insurance Corporation’s (FDIC) Division of Risk Management Supervision released “A Framework for Cybersecurity” in its Winter 2015 issue of Supervisory Insights. [read post]
19 Sep 2018, 9:38 am
” The Division has proposed amendments to N.J.A.C. 2:10-2 to codify “the longstanding policy of not returning animal remains of any kinds due to the risks of disease transmission to the general community. [read post]
17 Feb 2022, 6:01 am
More broadly, private fund managers should carefully evaluate whether their practices are consistent with the positions described in the Risk Alert. [read post]
5 Mar 2021, 3:03 am
Yesterday’s announcement also follows Wednesday’s announcement of priorities for the Examinations Division for climate risks relating to brokers and investment advisors, as it seems like they’re going to scrutinize ESG investments. [read post]
27 Jun 2020, 6:29 am
Speakers Tom Hollobone, Associate Managing Director, Compliance Risk and Diligence, Kroll, a division of Duff & Phelps Daniel Hartnett, Associate Managing Director, Compliance Risk and Diligence at Kroll, a division of Duff & Phelps Dan Harris, Attorney and Managing Partner at Harris Bricken, International Law Firm Go here to Register now. [read post]
17 Mar 2019, 2:41 pm
” Hinman also emphasized that disclosure requirements include the board’s risk oversight, and that company disclosure should discuss the nature of the board’s role in overseeing the management of climate-related risks. [read post]
12 May 2019, 8:36 am
Thank you to the staff of the Divisions of Corporation Finance, Investment Management, and Economic and Risk Analysis and the Offices of General Counsel and Chief Accountant for your hard work on this proposal. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
19 Feb 2022, 11:33 am
Proshares Ultra QQQ (QLD) and Proshares Ultra S&P 500 (SSO) are leveraged ETFs and high risk investments designed for short-term use, not long-term investment. [read post]
26 Dec 2019, 7:10 am
The Division encourages companies to assess the risks related to the potential theft or compromise of their technology, data, or intellectual property in connection with their international operations and how these risks may impact their business. [read post]
19 Dec 2016, 5:07 am
Second, management must be proactive and nip the problem in the bud. [read post]
8 Mar 2021, 5:48 am
While overall, examinations were down 4 percent, OCIE still managed 15 percent coverage of examinations of investment advisers. [read post]
28 Jul 2022, 2:12 pm
Debt Management During Divorce As long as you remain married, any debt accumulated is the responsibility of both partners. [read post]
