Search for: "DIVISION OF RISK MANAGEMENT"
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17 Jan 2013, 6:36 am
In particular, funds can expect to see an increase in risk-based “presence exams,” in which SEC staff will review one or more higher risk areas of a hedge fund’s operation. [read post]
16 Jan 2013, 5:27 pm
Broadly, the Division urged the Commission not to rely on the "wisdom of the crowd" theory because it is effective at exposing only the simplest form of fraud, and not those forms of fraud that pose the greatest risk to investors. [read post]
16 Jan 2013, 6:14 am
I’ll discuss the importance of specialization and expertise to this effort; the risks for investors; how these risks are informed by the hedge fund operating model; and how a hedge fund manager’s business may be at odds with the manager’s fiduciary duty to the fund. [read post]
14 Jan 2013, 6:50 am
Cusack, a senior executive and Managing Director at Aon, who resigned on June 13, 2011 with several other senior executives (as part of a group of 38 total employees) to join Alliant. [read post]
14 Jan 2013, 6:50 am
Cusack, a senior executive and Managing Director at Aon, who resigned on June 13, 2011 with several other senior executives (as part of a group of 38 total employees) to join Alliant. [read post]
13 Jan 2013, 5:34 am
On December 6, 2012, in a speech to the American Law Institute's Conference on Investment Adviser Regulation in New York City, Norm Champ, Director of the Division of Investment Management, announced the SEC has reversed course and "will no longer defer consideration of exemptive requests under the Investment Company Act relating to actively managed ETFs that make use of derivatives." [read post]
11 Jan 2013, 11:44 am
Most of the related cases are pending before the Fifth Senate (a division of the Federal Patent Court). [read post]
10 Jan 2013, 9:35 am
On July 2, 1998, the Supreme Court Appellate Division First Department of New York was called upon to decide the issues in a case possibly involving a commercial truck accident. [read post]
10 Jan 2013, 1:00 am
Others are wooing seniors with promises that the loans are free money that can be used to finance long-coveted cruises, without clearly explaining the risks. [read post]
9 Jan 2013, 9:00 pm
Once again the reason is clear, Compliance must not only be shown to be Mission 1A (Safety being Mission 1) but the CCO can only manage the compliance risk if it has a seat at the executive leadership table. [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]
9 Jan 2013, 6:36 pm
Large profits can be made by working with, managing the assets of and providing financial services to rogue regimes. [read post]
9 Jan 2013, 11:16 am
Bruce Karpati, Chief of the SEC Enforcement Division’s Asset Management Unit, gave a speech entitled “Enforcement Priorities in the Alternative Space” on December 18, 2012. [read post]
9 Jan 2013, 4:14 am
Also, take a look at your risk factors to make sure your cyber risks are adequately covered. [read post]
8 Jan 2013, 5:04 am
"They've done various things to try and (get) vehicular traffic's attention," said Connie Deane with the Collier County Growth Management Division. [read post]
6 Jan 2013, 6:02 pm
Comments and suggestions regarding the Guidance Document should be submitted by February 15, 2013 to the Division of Dockets Management (HFA-305), Food and Drug Administration,5630 Fishers Lane, Room 1061,Rockville,MD20852. [read post]
3 Jan 2013, 11:11 am
ISS’s stated mission is to “enabl[e] the financial community to manage governance risk for the benefit of shareholders. [read post]
27 Dec 2012, 5:33 am
Department of Labor (Labor Department) Wage and Hour Division (W&HD). [read post]
20 Dec 2012, 2:36 pm
., those having a direct contract with the owner of real property, including architects of record, GC’s, construction managers at-risk, design-builders, etc.) will need to serve the owner of the real property subject to the improvement. [read post]
20 Dec 2012, 9:16 am
District Court for the Middle of Florida, Orlando Division by the department's Atlanta Regional Solicitor's Office. [read post]
