Search for: "DIVISION OF RISK MANAGEMENT"
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10 Mar 2011, 1:22 pm
In order to operate a risk-based examination program that effectively identifies and carefully reviews the major risks, he added, the Division will need more examiners, industry expertise and further technological resources.The financial crisis revealed the need for better oversight of risk at the board and senior management levels, and the need for stronger independence, standing and authority among a firm's internal risk… [read post]
18 Nov 2016, 8:31 am
Champ led the creation of the Division’s Risk and Examination Office which monitors the investment management industry to understand risks that regulations should address. [read post]
17 Nov 2015, 8:35 am
Norm Champ, Investment Management Law Lecturer at Harvard Law School and former SEC IM Division Director, New York; and Robert Plaze, Partner, Stroock & Stroock & Lavan, Washington, D.C. came ready to talk about a broad range of issues. [read post]
11 Jan 2022, 5:55 am
Under the traditional division of power in U.S. corporations, managers decide how to allocate corporate assets, and shareholders are entitled to a say on those decisions only if they involve certain fundamental transactions. [read post]
20 Jul 2015, 1:33 pm
Merrill served as Counsel to Professional Risk, Cyber and Surety underwriters at ACE North America. [read post]
17 Feb 2014, 12:00 pm
A new no-action letter from the SEC’s Division of Investment Management should allow more employees of a fund manager to invest in their firm’s private funds under the Investment Company Act. [read post]
17 Feb 2014, 12:00 pm
A new no-action letter from the SEC’s Division of Investment Management should allow more employees of a fund manager to invest in their firm’s private funds under the Investment Company Act. [read post]
1 Oct 2007, 2:06 pm
"Hip Hop And Youth at Risk" by Cleveland Prince. [read post]
21 Aug 2015, 11:24 am
Burwell decision makes it particularly important that employers and other group health plan sponsors, and those named or serving functionally as the plan administrator or other fiduciary responsible for properly administering the group health plan in accordance with these rules move quickly to manage these risks. [read post]
26 Jun 2019, 1:06 pm
She received her bachelor of arts from Villanova University.Alan CohenSenior Policy Advisor to the ChairmanBioEric DiamondSenior Advisor to the ChairmanEric Diamond is the lead advisor to the Chairman on matters involving the Division of Investment Management and the Division of Economic and Risk Analysis, and assists on enforcement matters. [read post]
20 May 2013, 9:43 am
There are now SEC regulations that define the new exemptions for the managers of venture funds (discussed in more detail here) and for the managers of private funds with less than $150M management (discussed in more detail here). [read post]
18 May 2017, 9:16 pm
To assistant registrants, the SEC highlights its Division of Investment Management’s recent cybersecurity guidance, and the webpage of the Financial Industry Regulatory Authority (FINRA), which has links to cybersecurity-related resources. [read post]
20 Dec 2019, 6:11 am
I want to thank the staff of the Division of Corporation Finance and the Division of Investment Management for putting together this proposal. [read post]
30 Jan 2024, 5:50 am
By Suzanne CosgroveThe CFTC’s Divisions of Market Oversight, Clearing and Risk, Market Participants, and Data and the Office of Technology Innovation have issued a request for comment (RFC) on current and potential uses and risks of artificial intelligence (AI) in CFTC-regulated derivatives markets. [read post]
10 Aug 2020, 8:02 am
On 7 August 2020, the Wolfsberg Group, published new guidance targeted at private banking and wealth management divisions within financial institutions (FIs) to support the undertaking of source of wealth (SoW) and source of funds (SoF) checks. [read post]
6 Nov 2013, 12:45 am
” The company’s management should ensure that the company’s cybersecurity disclosures “are made with as much care as the typically well-vetted statements regarding financial results, growth prospects and unique business risks. [read post]
9 Dec 2022, 12:10 pm
What Happened The Division of Corporation Finance of the Securities and Exchange Commission (“SEC”) issued a sample letter on December 8, 2022, highlighting considerations that public companies that are in, or connected to, the crypto industry should keep in mind as they prepare their public disclosures, spanning the description of business, management’s discussion and analysis (“MD&A”) and risk factor disclosures. [read post]
29 Apr 2021, 6:49 am
MacLennan, Squire Patton Boggs With the proliferation of recent ESG related pronouncements and activities at the SEC, including the creation of a Climate and ESG Task Force within the agency’s Division of Enforcement, public issuers and asset managers of all stripes will need to consider how to address enhanced reporting and disclosure obligations that are likely to be issues. [read post]
26 Apr 2016, 9:06 am
Recently, Justice Carolyn Demarest of the Commercial Division in the Brooklyn Supreme Court rendered a decision grappling with certain issues of first impression in Board of Managers of the 125 North 10th Condo v. 125 North 10, LLC (Supreme Court Kings County Index Number 14982/2012). [read post]
26 Apr 2016, 9:06 am
Recently, Justice Carolyn Demarest of the Commercial Division in the Brooklyn Supreme Court rendered a decision grappling with certain issues of first impression in Board of Managers of the 125 North 10th Condo v. 125 North 10, LLC (Supreme Court Kings County Index Number 14982/2012). [read post]
