Search for: "DIVISION OF RISK MANAGEMENT"
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2 Sep 2022, 9:55 am
By John Filar AtwoodA new report from the PCAOB’s Division of Registration and Inspections outlines deficiencies that the division’s target team found in its 2021 inspections, as well as good practices that are in use at some audit firms. [read post]
17 Mar 2018, 5:37 am
Thank you, Chairman Clayton, and thank you to the extraordinary Staff in the Division of Investment Management for all of the hard work reflected in this proposal. [read post]
4 Oct 2021, 6:00 am
Today at the NetDiligence Cyber Risk Summit in Santa Monica, Calif., Integreon, the global managed services and alternative legal services company, will be announcing that it has expanded its Cyber Incident Response (CIR) capabilities to include Cyber Incident Notification Services. [read post]
13 Jan 2017, 4:50 am
The review of clearing agencies will be determined through a risk-based approach in collaboration with the Division of Trading and Markets. [read post]
5 Sep 2018, 10:10 am
In August 2016, the SEC instituted proceedings against hedge fund manager Donald F. [read post]
13 Nov 2018, 7:54 am
One of the key rules being monitored is the liquidity risk management rule, Blass said. [read post]
29 Mar 2013, 11:11 am
The study addressed four broad areas, risk analysis, flood insurance, risk reduction, and risk communication, regarding how levees are considered in the NFIP. [read post]
23 Dec 2011, 12:12 pm
Challenges and risks in managing this growing source of liability has been further fueled by the U.S. [read post]
27 Jun 2016, 6:53 am
Ceresney, Director of the SEC’s Division of Enforcement. [read post]
4 Oct 2021, 2:07 am
The post Vaccine Passports: Privacy Risks, Implementation Problems appeared first on HR Daily Advisor. [read post]
2 Jun 2022, 3:07 pm
" To do otherwise risks breaching clearly established statutory and contractual fiduciary duties and threatens the stabili [read post]
25 Mar 2021, 7:15 am
RIAs who offer asset management based on ESG principles will be questioned regarding their representations regarding products or services provided, including representations regarding third-party managers or products. [read post]
4 Apr 2023, 7:59 am
Department of Justice Antitrust Division (“DOJ”} on April 3, 2023 against one of the world’s largest video game developers and publishers Activision Blizzard, Inc. [read post]
11 Jan 2016, 8:12 am
OCIE selected the priorities in consultation with the Commission, the SEC’s policy divisions and regional offices, the Division of Enforcement, the SEC’s Investor Advocate, and other regulators.SEC Press Release [read post]
17 Sep 2013, 3:59 pm
Ceresney, Co-Director of the SEC’s Division of Enforcement. [read post]
16 Jan 2015, 11:23 am
Market-Wide Risks – OCIE will examine for structural risks and trends that involve multiple firms or entire industries, including: monitoring large broker-dealers and asset managers in coordination with the SEC’s policy divisions, conducting annual examinations of clearing agencies as required by the Dodd-Frank Act, assessing cybersecurity controls across a range of industry participants, and examining broker-dealers’ compliance with best… [read post]
8 Apr 2010, 8:49 pm
The enforcement division is also accusing fund portfolio manager Kelsoe of acting arbitrarily when he told Morgan Keegan’s Fund Accounting department to adjust prices in a manner that would make certain portfolio securities’ fair value go up. [read post]
7 Mar 2024, 6:31 am
The Commission does not point to a persuasive reason to reject the existing principles-based, materiality focused approach to climate risk. [read post]
7 Mar 2024, 6:31 am
The Commission does not point to a persuasive reason to reject the existing principles-based, materiality focused approach to climate risk. [read post]
21 Mar 2017, 7:11 am
In the case, the claimant had been employed by the property management division of his employer for over 40 years. [read post]
