Search for: "DIVISION OF RISK MANAGEMENT"
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24 Jan 2024, 9:03 pm
I’d like to thank the members of the SEC staff for their work on these final rules, including: Erik Gerding, Mellissa Duru, Betsy Murphy, Luna Bloom, Mark Saltzburg, Dennis Hermreck, Ted Yu, Tiffany Posil, Dan Duchovny, Shane Callaghan, Adam Turk, Kasey Levit, Lisa McCann, Lindsay McCord, Craig Olinger, Melissa Rocha, Ryan Milne, Cicely LaMothe, Jessica Kane, Mary Beth Breslin, Pamela Long, Asia Timmons-Pierce, Robert Errett, Sean Harrison, Jennifer Lopez Molina, Deegi Biteng, Michael Coco,… [read post]
13 Oct 2023, 3:15 pm
How Does Adultery Impact the Division of Marital Assets and Child Custody? [read post]
19 Oct 2015, 8:46 pm
Ranching businesses that employ foreign workers with H-2A VISAs to herd sheep, goats, cattle or other range livestock (“Herders”) should begin preparing to comply with significant changes in the Labor Department regulations governing the recruitment and employment of Herders made in the new Labor Department Final Regulation on Temporary Agricultural Employment of H-2A Foreign Workers in the Herding or Production of Livestock on the Range (Final Rule). [read post]
1 Dec 2010, 8:09 pm
Good stuff in this transcript from the FDA's podcast:Welcome, my name is Mary Kremzner, a pharmacist in the Division of Drug Information. [read post]
29 Mar 2010, 9:16 am
In wake of the collapse, the Commonwealth of Massachusetts Securities Division filed a Complaint against broker/dealer Securities America related to its sales of Medical Capital Notes. [read post]
15 Aug 2009, 3:30 am
At the time there was a lack of knowledge and research regarding the use of SLA's and their effectiveness in managing high risk sex offenders. [read post]
3 May 2023, 9:03 pm
Thank you to staff in the Divisions of Investment Management and Economic and Risk Analysis, the Office of General Counsel, and others throughout the Commission who worked on this release. [read post]
23 Aug 2023, 9:01 pm
I’d like to thank the members of the SEC staff who worked on these final rules, including: William Birdthistle, Sarah ten Siethoff, Melissa Harke, Adele Murray, Marc Mehrespand, Tom Strumpf, Tim Dulaney, Trevor Tatum, Shane Cox, Robert Holowka, and Neema Nassiri in the Division of Investment Management; Meridith Mitchell, Natalie Shioji, Jeff Berger, Robert Bagnall, and Amy Scully in the Office of the General Counsel; Jessica Wachter, Ross Askanazi, Alexander Schiller,… [read post]
24 Aug 2023, 6:32 am
I’d like to thank the members of the SEC staff who worked on these final rules, including: William Birdthistle, Sarah ten Siethoff, Melissa Harke, Adele Murray, Marc Mehrespand, Tom Strumpf, Tim Dulaney, Trevor Tatum, Shane Cox, Robert Holowka, and Neema Nassiri in the Division of Investment Management; Meridith Mitchell, Natalie Shioji, Jeff Berger, Robert Bagnall, and Amy Scully in the Office of the General Counsel; Jessica Wachter, Ross Askanazi, Alexander Schiller,… [read post]
16 Feb 2023, 9:01 pm
Miller, Alexander Bradford, and Michael Republicano in the Division of Investment Management; Megan Barbero, Meridith Mitchell, Malou Huth, Natalie Shioji, Cathy Ahn, Alice Wang, David Mendel, and Ted Weiman in the Office of the General Counsel; Jessica Wachter, Alexander Schiller, Daniel Deli, James McLouglin, and Robert Girouard in the Division of Economic and Risk Analysis; Christopher Mulligan, Susan Weis, Rachel Lavery, Keith Kanyan, Carrie O’Brien, and… [read post]
24 Aug 2023, 6:32 am
I’d like to thank the members of the SEC staff who worked on these final rules, including: William Birdthistle, Sarah ten Siethoff, Melissa Harke, Adele Murray, Marc Mehrespand, Tom Strumpf, Tim Dulaney, Trevor Tatum, Shane Cox, Robert Holowka, and Neema Nassiri in the Division of Investment Management; Meridith Mitchell, Natalie Shioji, Jeff Berger, Robert Bagnall, and Amy Scully in the Office of the General Counsel; Jessica Wachter, Ross Askanazi, Alexander Schiller,… [read post]
2 May 2011, 8:12 am
On March 18, 2011, the staff of the SEC’s Division of Investment Management published “Staff Responses to Questions about Part 2 of Form ADV” (Q&A), available online at http://tinyurl.com/3c9pcxd. [read post]
30 Jun 2015, 10:53 am
For Legal or Consulting Advice, Legal Representation, Training Or More Information If you need help responding to these new or other workforce, benefits and compensation, performance and risk management, compliance, enforcement or management concerns, help updating or defending your workforce or employee benefit policies or practices, or other related assistance, the author of this update, attorney Cynthia Marcotte Stamer may be able to help. [read post]
26 Jul 2019, 9:00 am
The AGC’s focus areas include contracts, human resources, risk management, and compliance. [read post]
19 Oct 2023, 9:05 pm
The Agricultural Analytics Division of USDA, however, estimated that only about 1 percent of raisin inspections would result in a different grade under the new rule. [read post]
28 Apr 2022, 3:52 pm
Inadequate tailoring to evolving risks. [read post]
28 Jul 2023, 2:15 am
You do have a general duty to take actions that help minimize the risk of workplace violence if you recognize that there is a risk. [read post]
30 Nov 2009, 11:05 am
Around the middle of the 20th Century, the idea grew up that good managers could manage anything. [read post]
9 Jan 2013, 8:04 pm
For his work at Citi, Lew was reportedly paid $1 million and was eligible for a bonus though his division – a high risk group that made money betting against the housing market – took heavy losses. [read post]
22 Apr 2010, 5:00 am
The SEC concluded that it is not necessary to require that an employee work for the particular fund or management affiliate for the entire 12-month period as long as the employee has the requisite experience to appreciate the risks of investing in the fund and performed substantially similar functions or duties for another company during that 12 month period. [read post]
