Search for: "DIVISION OF RISK MANAGEMENT"
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4 Feb 2013, 7:00 am
The Chief of the SEC's Enforcement Division's Asset Management Unit, recently, indicated that the SEC Staff is now looking at identifying hedge and private equity fund RIAs, who may have higher risk issues like previous fraud allegations. [read post]
20 Oct 2010, 6:31 am
But an area that is often overlooked by the risk manager is often right under their nose. [read post]
18 Oct 2012, 5:00 am
According to the SEC press release, this is the seventh case arising from the “SEC’s Aberrational Performance Inquiry, an initiative by the Enforcement Division’s Asset Management Unit that uses proprietary risk analytics to identify hedge funds with suspicious returns. [read post]
27 Jun 2014, 6:00 am
Our other major divisions are Investment Management, Trading and Markets and the Division of Economic and Risk Analysis. [read post]
23 Dec 2013, 8:49 am
The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division of Enforcement will co-sponsor the event. [read post]
11 Feb 2013, 12:05 pm
"Compliance and risk management programs add tremendous business value. [read post]
3 Aug 2023, 2:05 am
These are urgent reminders that the advantages of AI need to be carefully weighed against the risks. [read post]
17 Apr 2011, 12:39 pm
This networking event will be held in conjunction with CTA EXPO participants *** CTA EXPO New York April 21, 2011 Program 8:30-9:30 Continental Breakfast Sponsored by: DMAXX 9:15-9:30 Welcoming Remarks- Frank Pusateri and Bucky Isaacson Sponsored by: Strategic Compliance Solutions 9:30-10:00 Monitoring Portfolio Exposure, Key Risk Metrices, and Manager Mandates- James Goldcamp | HedgeFacts LLP 10:00-10:30 A Marketing Plan for Managers- Ron Suber | Senior Partner,… [read post]
14 Oct 2007, 9:17 am
" Unfortunately, the Division does not have authority to order an employer to take disciplinary action against employees, supervisors and managers who prove to be incompetent, homophobic, sexist, or all of the above. [read post]
8 Nov 2010, 1:16 pm
An interesting article from mynewmarkets.com http://www.mynewmarkets.com/articles Reporting Firms Face Risks As U.S. [read post]
13 Oct 2016, 12:33 pm
The Appeals Commission reviewed the criteria set out in the WCB policy that should be considered by the WCB when considering its risk assessment: ownership, affiliation and control, business continuity, continuity of management personnel, change in financial and operational control, continuity of health and safety programs and disability management, intercompany transactions, and the transfer of workers between businesses. [read post]
4 Oct 2016, 7:37 am
The SEC Enforcement Division further alleges that Balter falsely told clients invested in his affiliated mutual fund they would not pay both advisory fees and fund management fees, yet he charged both fees anyway. [read post]
8 Jul 2020, 12:19 pm
Trying to solve the management problems demonstrated in this audit would require shifting more cops away from police work and toward paper pushing, and for what? [read post]
6 Jul 2012, 1:46 pm
According to Securities and Exchange Commission Division of Investment Management deputy director Robert Plaze, the division is ready to recommend new reforms for mutual market funds as soon as Chairman Mary Schapiro gives the go ahead. [read post]
21 Jun 2018, 12:11 pm
Southwest Key is a nonprofit organization, but manages to pay its executives over half a million dollars a year. [read post]
21 Sep 2017, 11:21 am
Statement on Cybersecurity Chairman Jay Clayton, Sept. 20, 2017 “…Notwithstanding our efforts to protect our systems and manage cybersecurity risk, in certain cases cyber threat actors have managed to access or misuse our systems. [read post]
5 Mar 2018, 3:24 am
Arbitration agreements can be a great way to manage the risk and expense of litigation. [read post]
5 Mar 2018, 3:24 am
Arbitration agreements can be a great way to manage the risk and expense of litigation. [read post]
23 Oct 2023, 9:01 pm
Whether the same management was involved in both violations. [read post]
30 Jan 2018, 8:47 am
Businesses with employees that travel regularly or for the occasional training or other isolated business trip should review and update their travel related policies, practices, and procedures for evolving laws, risks and management needs. [read post]
