Search for: "DIVISION OF RISK MANAGEMENT"
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4 Dec 2019, 11:55 am
At a mutual fund industry conference held on December 3, 2019, Dalia Blass, director of the Securities and Exchange Commission’s Division of Investment Management, previewed a new structure for registered mutual funds seeking to invest substantially in digital assets and related investments. [read post]
29 Sep 2022, 5:55 am
Table: Estimated Damage, Losses, and Needs by Sector as of June 2022 (US$ billion) Sector Damage Share of Total Damage % Losses Share of Total Losses % Projected Needs (over 10 years) Share of Projected Needs % Social Sectors Housing 39.2 40 13.3 5 69.0 20 Education 3.4 3 0.5 0 9.2 3 Health 1.4 1 6.4 3 15.1 4 Social Protection and Livelihoods 0.2 0 4.5 2 20.6 6 Cultural Heritage and Tourism 1.1 1 19.3 8 5.2 2 Productive Sectors Agriculture 2.2 2 28.3 11 18.7 5 Irrigation and Water Resources… [read post]
27 Oct 2021, 8:35 am
The Exams Division issued deficiency letters to some firms and issued the risk alert so that its observations could help all funds assess compliance risks.Compliance deficiencies. [read post]
29 Oct 2020, 8:10 am
By Anne Sherry, J.D.A joint statement from SEC Chairman Jay Clayton and the directors of the Divisions of Investment Management, Corporation Finance, and Trading and Markets outlined some of the issues underlying complex investment products available to retail investors. [read post]
9 Nov 2015, 12:21 pm
But in an unexpected turn of events, the NLRB Office of the General Counsel, Division of Advice, recently handed management a win. [read post]
11 Jan 2007, 2:19 pm
The company’s experts provide workplace violence response and prevention training, threat assessment, crisis management, executive protection, travel intelligence and risk management, and security consulting. [read post]
27 Oct 2009, 12:53 pm
The new bulletin acknowledges that the staff has “become increasingly cognizant that the adequacy of risk management and oversight can have major consequences for a company and its shareholders. [read post]
15 Jun 2014, 7:00 am
Editor’s Note: The carnage in Syria is a nightmare for the country’s neighbors, saddling them with huge numbers of refugees, riling up public opinion, and creating a risk of terrorism. [read post]
17 May 2015, 3:55 pm
Mary Pivec is a management-side immigration and employment lawyer with FordHarrison LLP. [read post]
24 Feb 2022, 5:28 am
., a precedential Appellate Division decision decided on February 22, 2022. [read post]
27 Mar 2014, 12:14 pm
Many State securities divisions limit the percentage of investors' investible assets that may be invested in such alternative investments such as REITs. [read post]
28 Apr 2022, 6:29 am
The amended rules also would require periodic reporting about (i) a public company’s policies and procedures to identify and manage cybersecurity risks; (ii) the company’s board of directors’ cybersecurity expertise and oversight of cybersecurity risks; and (iii) management’s role and expertise in assessing and managing cybersecurity risk and implementing cybersecurity policies and procedures. [read post]
28 Apr 2022, 6:29 am
The amended rules also would require periodic reporting about (i) a public company’s policies and procedures to identify and manage cybersecurity risks; (ii) the company’s board of directors’ cybersecurity expertise and oversight of cybersecurity risks; and (iii) management’s role and expertise in assessing and managing cybersecurity risk and implementing cybersecurity policies and procedures. [read post]
19 Aug 2019, 10:36 am
The SEC Investment Management Division published a no-action letter on August 15 addressed to Redwood Trust that provides a certain degree of Section 3(c)(5)(C) compliance leeway for mortgage REITs and mortgage bankers. [read post]
4 May 2022, 6:35 am
For my fellow compliance nerds, hopefully you didn’t miss the new risk alert from the Securities and Exchange Commission’s Division of Examination on Material Non-Public Information. [read post]
30 Oct 2020, 8:38 am
The internal risk management program would need to have certain standards drawn from the letters the staff of the Division of Trading and Markets previously issued to BD/FCMs approving their margin methodologies. [read post]
22 Jul 2016, 12:10 pm
Valdez, Managing Executive of the SEC’s Enforcement Division, will serve as Acting Chief of the Office of Market Intelligence following Mr. [read post]
5 Nov 2014, 7:17 am
The SEC said the general manager of the company’s emerging markets sales division ignored red flags and permitted the activity to continue for years. [read post]
4 May 2024, 8:31 pm
Boynton, head of the Justice Department’s Civil Division as stating, “The Justice Department will hold accountable those contractors who knowingly fail to satisfy cybersecurity requirements. [read post]
13 Dec 2015, 9:32 pm
Employment Announcements (More details on the Job Board) Director, Cyber Security Risk Company: Good Harbor Security Risk Management, LLC, is a boutique consulting firm that advises senior corporate executives, Boards, government leaders, and investment professionals on cyber security risk management. [read post]
