Search for: "DIVISION OF RISK MANAGEMENT"
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4 Apr 2014, 3:27 am
As part of this aggressive enforcement paradigm, FinCEN added a stand-alone Enforcement Division in June 2013 in a major internal reorganization, and FinCEN also started placing emphasis on corporate and individual responsibility with respect to BSA/AML compliance. [read post]
3 Apr 2014, 12:30 pm
Bay Area Air Quality Management Dist., S213478. [read post]
27 Mar 2014, 12:14 pm
Many State securities divisions limit the percentage of investors' investible assets that may be invested in such alternative investments such as REITs. [read post]
27 Mar 2014, 11:56 am
Griffiths listed several of them: An auditor, the ombudsman, an inspector general, an administrative investigation division, a youth complaint hotline (euphemistically known as "blue phones"), a monitoring and inspection division, and youth rights specialists, among others. [read post]
27 Mar 2014, 7:48 am
Create consistent rules between houses – Risk taking peaks during adolescence. [read post]
26 Mar 2014, 9:00 am
Otherwise, there is a risk of stagnation. [read post]
25 Mar 2014, 11:55 am
The national seminar, which was jointly sponsored by the Office of Compliance Inspections and Examinations and the Asset Management Unit of the Division of Enforcement, was held at the SEC headquarters in Washington, D.C. [read post]
20 Mar 2014, 5:00 am
Law firms seem to pose the same risks as any other firm. [read post]
19 Mar 2014, 8:00 am
From this standpoint, any manager in any division of any company needs to be able to thoroughly understand how they communicate to others, how others perceive them, and how to help individuals communicate amongst themselves. [read post]
13 Mar 2014, 12:21 pm
However, what you may not realize is that the division worked out between you and your spouse does not alter the contract you signed with the company you owe money to. [read post]
13 Mar 2014, 10:00 am
Incentivizing and rewarding managers and directors in a way that promotes compliance is another option. [read post]
13 Mar 2014, 5:30 am
WorkCover NSW General Manager of Work Health and Safety Division John Watson said examples from August 2012 to August 2013 have included electric shocks, through to deaths. [read post]
10 Mar 2014, 7:35 am
(Rob Bonta, Press Releases: Worker-Owned Job Creation on the Rise: Assemblymembers Bonta and Levine Introduce Limited Liability Worker Cooperative Act to Facilitate Worker-Owned Business Development Feb. 24, 2014).What makes this proposal interesting is its extension of limited asset partitioning (limited liability) to risk taking individuals who wish to pool their labor. [read post]
SOX Whistleblower Protection Extends to Employees of Private Contractors, According to Supreme Court
6 Mar 2014, 2:26 pm
Zang, was a portfolio manager for a different division of the company that advised Fidelity mutual funds. [read post]
6 Mar 2014, 10:54 am
The “recommended best practices” include maintaining a written information security and privacy program, designating an employee with management responsibility for security and privacy who “is part of or reports directly to senior management or the Board of Directors,” identifying risks and implementing safeguards to address those risks, training staff, regularly testing such controls as access management, use of encryption, and… [read post]
5 Mar 2014, 11:41 pm
But listing them, declaring these things, was to risk the faulty understanding that whatever wasn't listed wasn't protected. [read post]
4 Mar 2014, 6:14 am
BBH stated that the activity for which it has been fined is only one small section of the services that they offer and excludes their investment management and private banking divisions. [read post]
3 Mar 2014, 5:32 pm
The Economic Actor Master Narrative and a Focus on Risk B. [read post]
1 Mar 2014, 8:31 am
(RNWF, Investment Management). [read post]
1 Mar 2014, 6:22 am
In 2010, Defendant Abbott Laboratories, Inc. acquired Solvay’s pharmaceutical division, which included AndroGel. [read post]
