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]
21 Feb 2023, 9:22 am
Both the SEC and the CFTC initiated actions against the derivatives clearing organization in September 2019 for violations related to risk management procedures. [read post]
23 Jun 2010, 9:13 am
It sets out the principle of the strict division of responsibilities between the European Union, represented by the Commission, the Authority and the European Space Agency (hereinafter the “ESA”), granting the Commission responsibility for the management of the programmes and attributing to it the tasks originally assigned to the Authority. [read post]
3 Nov 2011, 9:21 am
Confidential Data In recommending that the commission adopt the systemic risk reporting rule, Eileen Rominger, director of the SEC’s Division of Investment Management, stressed that the information provided will be kept confidential—a concern that many participants voiced. [read post]
28 Mar 2008, 4:06 am
On 26 March, the Financial Services Authority (FSA) published a summary of a review carried out by its internal audit division into its supervision of Northern Rock. [read post]
16 Jun 2010, 1:48 pm
Access the complete opinion (click here).Waste Information & Management Services, Inc. [read post]
1 May 2024, 7:51 am
Department of Labor’s Wage and Hour Division (WHD) released a Field Assistance Bulletin (FAB) highlighting some of the compliance risks under the Fair Labor Standards Act (FLSA) associated with the use of AI in the workplace. [read post]
12 Jun 2018, 6:46 am
The listening session focused on Recommendation 22, which suggests exploring Environmental Liability Transfer (ELT) approaches and other risk management tools. [read post]
3 Nov 2011, 3:05 am
” David Steinhaus, medical director in Medtronic’s cardiac rhythm disease management division said, “‘We need to go back and decide how we can best’ address safety issues. [read post]
7 Oct 2016, 8:35 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]
19 Oct 2009, 4:48 am
Storch will be responsible for project management and workflow for various infrastructure and operational aspects of the Division, including budget, information technology, and administrative services. [read post]
28 Dec 2006, 2:19 pm
" He concluded: "We obviously need to earn money in this area, but have to manage risk. [read post]
24 Jan 2013, 6:22 am
The SEC's Division of Enforcement again logged a near record number of enforcement actions. [read post]
17 Feb 2016, 1:02 pm
Kahl joined the SEC’s Division of Investment Management in 2001 as a counsel and was later promoted to branch chief. [read post]
Mitigating Accounting Fraud Risk During the Pandemic: Regulators’ Concerns and Prospective Solutions
7 Jun 2020, 7:04 am
In guidance released on March 25, 2020, the SEC’s Division of Corporate Finance (the March 25 Guidance) underscored that it is closely monitoring how companies report the risks and effects of COVID-19. [5] The March 25 Guidance lists a number of questions to consider in assessing and disclosing the impact of COVID-19 and details the appropriate use of non-GAAP metrics for items impacted by COVID-19. [read post]
27 May 2009, 2:25 pm
Merrill Lynch's life insurance division put forth 120 policies and received over $32 million in premiums that were invested in bonds and stocks that over the years have dropped in value and placed the trust's solvency at risk. [read post]
25 Apr 2022, 5:38 am
” Bribes were made to obtain and retain business and other advantages in connection with Stericycle’s waste management business. [read post]
24 Oct 2021, 7:38 am
The Statement indicated that, as part of its enhanced focus in this area, the staff would (1) review the extent to which public companies are addressing the topics identified in the SEC’s 2010 climate risk guidance, (2) assess compliance with disclosure obligations under the federal securities laws, (3) engage with public companies on these issues and (4) absorb critical lessons on how the market is currently managing climate-related risks. [read post]
31 May 2018, 7:00 am
Derivatives Clearing Organization Risk Management. [read post]
22 Feb 2023, 9:27 am
Wolters Kluwer’s risk management software, Enablon, which was previously part of the LR division, now moves to the new CP & ESG division. [read post]
