Search for: "DIVISION OF RISK MANAGEMENT"
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4 Apr 2018, 4:21 pm
A+ and think this was an experiment that didn’t get managed very well. [read post]
4 Apr 2018, 11:28 am
Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related HoldingsStaff Letter: Engaging on Fund Innovation and Cryptocurrency-related HoldingsDalia Blass, Director, Division of Investment Management, US Securities and Exchange CommissionIn a staff letter to the Investment Company Institute and Asset Management Group, Blass addressed potential issues the SEC has identified concerning registered funds and products focused on cryptocurrency. [read post]
3 Apr 2018, 4:20 pm
Properly framing the CEQA review from the outset – i.e., in the application and initial study – could avoid later judicial application of the “fair argument” standard and consequently avoid increased litigation risk to the MND and project approvals. [read post]
2 Apr 2018, 4:03 pm
It is the CEO who is charged with day-to-day management responsibility and, as history tells us, those in the organization will, in fact, “follow the leader. [read post]
2 Apr 2018, 11:00 am
Attorney's Office in Brooklyn, where she held a number of leadership positions, including Deputy Chief of the Criminal Division. [read post]
2 Apr 2018, 5:00 am
President and COO Jack Concannon provided a comprehensive response to an SEC staff letter issued by the Division of Investment Management earlier in the year which raised numerous concerns relating to cryptocurrencies and related products. [read post]
1 Apr 2018, 4:21 pm
Overstock launched its Medici Ventures division in 2014 to oversee the company’s work in blockchain technologies. [read post]
30 Mar 2018, 6:57 am
The appeal is against the decision of the examining division of 19 October 2015 refusing European patent application No. 07004013.4 (publication number EP 1 887 800 A2). [read post]
30 Mar 2018, 6:57 am
The appeal is against the decision of the examining division of 19 October 2015 refusing European patent application No. 07004013.4 (publication number EP 1 887 800 A2). [read post]
29 Mar 2018, 2:55 pm
Cyracom responded that Cyracom Affiliate was a wholly-owned subsidiary of Cyracom, that “its services are provided and managed by the parent company,” and that Cyracom “uses its divisions ‘[Cyracom Affiliate]’ and ‘CyraCom’ for marketing to different industries. [read post]
28 Mar 2018, 6:45 am
According to the SEC’s press release, this is the fourth action arising out of an enforcement initiative to combat cherry-picking led by the SEC’s Los Angeles Regional Office and supported by the agency’s Division of Economic and Risk Analysis. [read post]
26 Mar 2018, 9:11 am
Before her current role, Elizabeth oversaw Simplify Compliance’s healthcare division, HCPro. [read post]
26 Mar 2018, 9:11 am
Before her current role, Elizabeth oversaw Simplify Compliance’s healthcare division, HCPro. [read post]
23 Mar 2018, 8:09 am
Failing to encourage communication from certain workers also can cause management to overlook critical legal or operational risks that tend to prove costly at later times. [read post]
23 Mar 2018, 8:04 am
Stamer advises, represents and defends employer, union, multi-employer, association and other employee benefit plan sponsors, insurers and managed care organizations, fiduciaries, plan administrators, technology and other service providers, government and community leaders and others about health and other employee benefit and insurance program and policy design and innovation, funding, documentation, administration, communication, data security and use, contracting, plan, public and… [read post]
21 Mar 2018, 7:10 am
Because legislation governing PPP projects is insufficient the compliance risk is inevitable. [read post]
20 Mar 2018, 6:55 am
Division of Investment Management staff is “firing on all cylinders” on many projects including engaging with boards of directors and developing new valuation guidance, working to get an ETF rule on the books, and refining the division’s market surveillance tool (“MAGIC”) to add machine learning capabilities, IM Director Dalia Blass said in remarks to the ICI 2018 Mutual Funds and Investment Management Conference. [read post]
19 Mar 2018, 11:02 am
Among the many issues at risk, perhaps the most important concerns the right of a woman to decide for herself whether or not to carry a pregnancy to term. [read post]
19 Mar 2018, 10:23 am
It briefly outlines the acquisition authorities of the CFO and the CIO and codifies the existing Office of Program Accountability and Risk Management. [read post]
17 Mar 2018, 5:37 am
Thank you, Chairman Clayton, and thank you to the extraordinary Staff in the Division of Investment Management for all of the hard work reflected in this proposal. [read post]
