Search for: "DIVISION OF RISK MANAGEMENT"
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21 Nov 2020, 7:26 am
We want to start by thanking the staff in the Division of Corporation Finance, Office of the General Counsel, Division of Economic and Risk Analysis, and Office of the Chief Accountant who have worked on this rule. [read post]
14 Dec 2013, 3:29 am
The event is intended to help these firms' Chief Compliance Officers (CCOs) and other senior personnel to enhance their compliance programs for the protection of investors.The SEC's Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division of Enforcement jointly sponsor the compliance outreach program. [read post]
12 Jan 2014, 6:00 am
The model captures the main institutional features of PE, including: (1) Inability to trade or rebalance the PE investment, and the resulting long-term illiquidity and unspanned risks; (2) GPs creating value and generating alpha by effectively managing the fund’s portfolio companies; (3) GP compensation, including management fees and performance-based carried interest; and (4) leverage and the pricing of the resulting risky debt. [read post]
19 Oct 2013, 6:03 am
Soto, Senior Managing Counsel for Regulatory Affairs of the American Gas Association (AGA), in written testimony before the US House of Representatives Committee on Agriculture Subcommittee on General Farm Commodities and Risk Management at a recent hearing regarding the Future of the CFTC: End-User Perspectives effectively summarized this complexity as follows: Click here to read the complete post... [read post]
15 Apr 2024, 6:00 am
Foster will oversee the Divisions of Materials Management, Environmental Remediation, and Mineral Resources, as well as the Office of Sustainability. [read post]
15 Apr 2024, 6:00 am
Foster will oversee the Divisions of Materials Management, Environmental Remediation, and Mineral Resources, as well as the Office of Sustainability. [read post]
5 Mar 2015, 6:04 am
In order to avoid risking a withhold or no-vote recommendation from ISS against their directors, many companies will be faced with the choice of (i) including any shareholder-submitted proxy access proposal in their proxy materials (either alone or alongside a management proposal) (ii) excluding the shareholder submitted proposal on the basis of a court ruling or no-action relief from the Division of Corporation Finance on a basis other than Rule 14a-8(i)(9) (conflict with… [read post]
19 Apr 2021, 6:03 am
In recent days, Reuters reported that the SEC opened an inquiry seeking information on how underwriters are managing the risks involved in SPACs, [1] and the SEC’s Division of Corporation Finance (Corp Fin) and acting chief accountant have issued two separate public statements on certain accounting, financial reporting and governance issues that should be considered in connection with SPAC-related mergers. [2] This increase in activity by SEC staff comes on the heels… [read post]
11 Feb 2010, 2:08 am
The strategy plan follows a detailed review of the market's position involving more than 50 managing agents, brokers and market associations.The paper emphasises that the strategy for the next three years is not one of radical change, but rather a focus on maintaining and developing the attractiveness of the Lloyd's market supported by a resolute focus on underwriting discipline and risk management. [read post]
23 Oct 2019, 5:14 pm
” These and other findings led to the OCR determination in the Notice of Proposed Determination and Notice of Final Determination that JHS failed to provide timely and accurate breach notification to the Secretary of HHS, conduct enterprise-wide risk analyses, manage identified risks to a reasonable and appropriate level, regularly review information system activity records, and restrict authorization of its workforce members’ access to patient ePHI to the… [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]
18 Feb 2012, 3:02 pm
Exams are also now more concentrated on risk. [read post]
17 Jul 2015, 10:29 am
It is unclear how much information about complex subjects like fees and expenses can be truly understood, Schock explained.Susan Nash of the Division of Investment Management talked about the existing disclosure regime and what may be done to enhance it. [read post]
1 May 2015, 10:32 am
Recently, the Staff of the Division of Investment Management of the Securities and Exchange Commission (the “Staff”) issued updated Guidance that highlights the importance of cybersecurity of registered investment funds and registered investment advisers. [read post]
10 May 2012, 9:12 am
The latest JOBS Act guidance comes from the SEC’s Division of Trading and Markets and the Division of Investment Management. [read post]
23 Jun 2022, 1:03 pm
Prior to her current role, she led the Markets Coverage Group for the Americas, structured cross product derivatives for institutional clients of the Emerging Markets desk in the Securities Division, and was a member of the Single Stock Risk Management team in Equity Derivatives, helping individuals and family offices manage large stock positions. [read post]
19 Mar 2021, 6:08 am
While the Exam Priorities address the Division of Examinations’ focus for all of the SEC’s registrants, certain focus areas will be of particular interest to private fund managers. [read post]
13 May 2022, 7:09 am
The sooner you can pay off and close joint credit accounts, the sooner you can prevent the risk of being held responsible for debt that you did not accrue. [read post]
21 May 2020, 2:09 pm
The College offers undergraduate, master’s, executive and doctoral programs across six academic divisions in Accounting, Entrepreneurship and Economic Development, Finance, Management and International Business, Management Information Systems, and Marketing and Supply Chain Management. [read post]
21 May 2020, 2:09 pm
The College offers undergraduate, master’s, executive and doctoral programs across six academic divisions in Accounting, Entrepreneurship and Economic Development, Finance, Management and International Business, Management Information Systems, and Marketing and Supply Chain Management. [read post]
