Search for: "DIVISION OF RISK MANAGEMENT"
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1 Feb 2012, 5:57 am
Additional first party coverages included cyber-extortion coverage and crisis management/PR coverage. [read post]
29 Nov 2023, 9:01 pm
The Division maintained its focus on individual accountability for company officers and directors, as well as for gatekeepers, such as auditors and lawyers. [read post]
22 Jul 2019, 6:32 am
The staff of the Division of Clearing and Risk believes that for separate accounts, the risk management goals the regulation is designed to address are effectively addressed if an FCM carrying a customer (i.e., the beneficial owner of an account) with separate accounts meets certain risk management conditions. [read post]
19 Sep 2022, 6:12 am
“Law firms retained by the Division of Law are required to comply with the Division’s Outside Counsel Guidelines, which were last updated in January 2015. [read post]
28 Jan 2013, 5:00 am
Q5: What can a private equity COO or CFO do to reduce the risk of inquiry by the Division of Enforcement? [read post]
13 May 2021, 8:43 am
By Brad Rosen, J.D.The SEC’s Division of Investment Management (IM) issued a statement addressing a number of issues funds registered under the Investment Company Act investing in the Bitcoin futures markets should consider. [read post]
19 Aug 2014, 2:05 pm
This information must include total assets under management (AUM), use of leverage, counterparty credit risk exposure, and trading practices. [read post]
11 Jan 2021, 2:00 am
Jodi Nuttall, Director of Recruiting Operations in the greater Chicago area for Aerotek’s industrial division, leads the recruiting teams. [read post]
17 Jun 2022, 2:00 am
The options for smoothing the workload are relatively limited for a seasonal business, for example, compared to a business that simply has some inefficient organization and division of labor. [read post]
17 Feb 2023, 6:50 am
Peter Toren is an experienced criminal trade secret litigator who served for many years in the as a federal prosecutor with the Computer Crime and Intellectual Property Section of the Criminal Division of the United States Department of Justice where he served as Acting Deputy Chief. [read post]
10 Jun 2014, 7:30 am
Wedbush did not have the required pre-trade controls, failed to restrict trading access to people whom the firm preapproved and authorized, and did not conduct an adequate annual review of its market access risk management controls. [read post]
2 Mar 2022, 11:35 am
For more information related to these topics, access the recording of our recent webinar, Returning to Familiar Waters: Best Practices for Proactively Managing Workplace Issues and Minimizing the Risk of Employment-Related Litigation. [read post]
15 Jul 2010, 3:30 am
*(Note: Bob Glasser is a managing director at BDO Consulting, a division of BDO and Seidman, LLP, in the New York office. [read post]
10 Dec 2011, 2:30 pm
How will the Guidelines affect disclosure and risk management and insurance? [read post]
26 Jun 2013, 5:30 am
Written comments can be submitted to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD, 20852. [read post]
26 Oct 2017, 3:00 am
The arbitrator concluded: “Accordingly, I accept the City’s assessment that the grievor has anger management issues, is likely to reoffend by engaging in violence, and that that risk must be removed from the workplace. [read post]
26 Apr 2021, 5:42 am
The CRS paper points to the groundbreaking report, Managing Climate Risk in the U.S. [read post]
20 Oct 2014, 8:17 am
Such a visit may involve a “risk assessment” to better understand the adviser’s firm, but it also may entail a more “focused” review involving “comprehensive, risk-based examinations of one or more higher-risk areas, which could include, among others, the compliance program, portfolio management, or safety of client assets. [read post]
1 Dec 2012, 5:42 am
™ provides business risk management, legal compliance, management effectiveness and other resources, training and education on human resources, employee benefits, compensation, data security and privacy, health car [read post]
15 Apr 2011, 12:00 pm
The Director stated generally that it was too early to tell, but that if shareholders were voting for compensation then the rules were functioning; (4) The SEC staff was pleased with disclosures made under the “Risk Rule,” regarding a “company’s compensation policies and practices as they related to the company’s risk management,” discussed here. [read post]
