Search for: "DIVISION OF RISK MANAGEMENT"
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2 Apr 2024, 1:34 pm
The Division will likely begin the formal rule-making process for governance and risk management framework regulations for both health insurance, and previously discussed private passenger auto insurance, sometime in April 2024. [read post]
8 Apr 2010, 5:30 am
As part of my EEA/LS Division's roll-out of our new proactive services with open pricing, I will be hosting a webinar on Managing Employment Litigation Risk With Proactive Statistical Analyses on Wednesday, April 21, 2010 at 1:00 pm, Eastern Daylight Time. [read post]
12 Apr 2022, 5:27 am
On Wednesday, by 3-1 vote, the SEC approved proposed rules aimed at enhancing and standardizing disclosures made by public companies regarding cybersecurity risk management, strategy, governance and incident reporting, [1] reflecting the third rulemaking project the Commission has proposed in connection with cybersecurity in the past year. [2] The proposal, if adopted, would require mandatory reporting of material cybersecurity incidents and mandatory ongoing disclosures regarding… [read post]
12 Apr 2022, 5:27 am
On Wednesday, by 3-1 vote, the SEC approved proposed rules aimed at enhancing and standardizing disclosures made by public companies regarding cybersecurity risk management, strategy, governance and incident reporting, [1] reflecting the third rulemaking project the Commission has proposed in connection with cybersecurity in the past year. [2] The proposal, if adopted, would require mandatory reporting of material cybersecurity incidents and mandatory ongoing disclosures regarding… [read post]
14 Feb 2013, 7:04 pm
The unit also collaborates with the SEC’s Division of Investment Management when an investigation involves complex legal issues and when the Division of Investment Management is crafting rules that affect the private equity industry. [read post]
17 Sep 2009, 4:13 am
SEC Creates New Division of Risk, Strategy and Financial Innovation Yesterday, the SEC announced the creation of a new Division - the Division of Risk, Strategy and Financial Innovation. [read post]
29 Oct 2023, 9:01 pm
Types of Risk to be Addressed in Risk Management Program. [read post]
20 Nov 2007, 2:12 pm
2004Pursuant to 16-11.7-103(4)(c.5), C.R.S. the Division of Criminal Justice worked in consultation with the Sex Offender Management Board (SOMB) to develop an actuarial risk assessment scale to be used in the identification of an offender's risk to fail. [read post]
25 Sep 2017, 5:00 am
Lawyers help their clients manage many legal and business risks. [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]
30 Mar 2022, 3:36 pm
In addition, the Division will review the practices, controls, and investor reporting around risk management and trading for private funds with indicia or signs of systemic importance. [read post]
2 Mar 2021, 6:36 am
The Division also identified risks related to digital assets for broker-dealers based on its recent examinations. [read post]
28 Apr 2021, 5:56 am
Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a risk alert (the “Risk Alert”) describing observations from recent examinations of investment advisers that manage and offer environmental, social and governance (“ESG”) investment options. [read post]
4 Aug 2014, 7:00 am
The SEC’s Division of Investment Management is working on two ways to make its Risk and Examinations Office effective. http://www.sec.gov/News/Speech/Detail/Speech/1370540048684#.Uml5uBAWkoo. [read post]
12 May 2015, 6:14 am
In Guidance Update No. 2015-02, the Division of Investment Management (Division) of the Securities and Exchange Commission (SEC) issued some high-level suggestions concerning the importance of cybersecurity for registered investment companies and registered investment advisers. [read post]
2 Jun 2020, 4:20 am
This webinar will also share how effective marketing can be a risk management tool that can help lawyers screen clients and cases to avoid taking on those risky ones. [read post]
25 Sep 2009, 12:08 pm
Andrew Donohue, Director, Division of Investment Management of the SEC, recently spoke to the 9th Annual IA Compliance Fall Conference. [read post]
16 Jul 2019, 3:05 am
Last week, Corp Fin issued a joint statement with the Division of Investment Management, Division of Trading & Markets and Office of the Chief Accountant to say that companies should identify their exposure under contracts that extend past 2021 and consider whether future contracts should use an alternative rate. [read post]
30 Apr 2015, 11:56 am
Please call an Investment Funds and Investment Management attorney with your inquiries regarding your firm’s cybersecurity risks and compliance procedures that address them. [read post]
10 Mar 2021, 4:28 pm
Moreover, it applies to both direct and indirect (through pooled vehicles) management of all of these assets. [read post]
