Search for: "DIVISION OF RISK MANAGEMENT"
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20 Mar 2018, 6:55 am
Division of Investment Management staff is “firing on all cylinders” on many projects including engaging with boards of directors and developing new valuation guidance, working to get an ETF rule on the books, and refining the division’s market surveillance tool (“MAGIC”) to add machine learning capabilities, IM Director Dalia Blass said in remarks to the ICI 2018 Mutual Funds and Investment Management Conference. [read post]
30 Jun 2017, 11:36 am
The myriad of rules and regulations that healthcare practices and pain management clinics must remain in compliance with can easily be overlooked and bring about a multitude of risks for any healthcare professional. [read post]
11 Oct 2018, 7:41 am
Risk Management – How Can Privacy Officers Ensure They Have the Correct Security Policies in Place? [read post]
5 Oct 2018, 8:40 am
Risk Management – How Can Privacy Officers Ensure They Have the Correct Security Policies in Place? [read post]
6 Jul 2021, 10:41 am
Getting an adequate retainer is, of course, a basic tenet of good law practice management. [read post]
4 Feb 2011, 7:18 am
He has also worked with management and boards of directors of companies that specialize in property and casualty reinsurance, workers’ compensation, alternative risk reinsurance and medical malpractice insurance.Prior to working with Northington Partners, Inc., Leonardi served as Senior Vice President and Head of Investment Banking and Venture Capital Divisions at Conning & Company. [read post]
6 Apr 2023, 12:00 pm
In the SEC’s own words, “[s]uch examinations allow the staff to: provide advisers with information about the Division’s examination program, conduct preliminary risk assessments, facilitate discussions regarding the advisers’ operations and risk characteristics, and promote compliance with applicable statutes and regulations. [read post]
22 Jul 2011, 11:39 am
Financial sector companies must pay attention to a wide variety of legal compliance and risk issues related to the use of social networking, BITS, the technology policy division of The Financial Services Roundtable, cautioned in its “Social Media Risks and Mitigation”guidance issued July 11. [read post]
2 May 2014, 6:02 am
Lewis is Chief Economist and Director of the Division of Risk, Strategy, and Financial Innovation at the U.S. [read post]
28 May 2024, 5:00 am
Lapses in that reporting by members of the Center’s staff is said to have “exposed the service recipient to harm or risk of harm. [read post]
30 Sep 2010, 6:11 pm
©2010 Amaxx Risk Solutions, Inc. [read post]
10 Aug 2017, 5:54 am
Contents include: Articles Robert McCorquodale, Lise Smit, Stuart Neely, & Robin Brooks, Human Rights Due Diligence in Law and Practice: Good Practices and Challenges for Business Enterprises Björn Fasterling, Human Rights Due Diligence as Risk Management: Social Risk Versus Human Rights Risk Louise J Obara, ‘What Does This Mean? [read post]
8 Oct 2015, 4:55 am
The administrative law judge barred the engagement partner for one year and the senior manager for six months. [read post]
11 Aug 2014, 4:13 am
Howden Windsor clients who are insured by A-rated insurer AmTrust Europe can save money on their Professional Indemnity Insurance (PII) premium each and every time they use COMPLETIONmonitor, Lexsure’s bespoke conveyancing risk management tool. [read post]
5 Dec 2011, 8:14 am
Robert Kaplan and Bruce Karpati, Co-Chiefs of the SEC Enforcement Division's Asset Management Unit, added, "The extraordinary returns reported by these advisers and portfolio managers were, in most cases, too good to be true. [read post]
12 Mar 2013, 4:41 pm
The new system has risks The new system is intended to provide a single patent jurisdiction across Europe. [read post]
7 Oct 2009, 5:00 am
Substantial reform can be expected in that Division as well. [read post]
10 Jan 2013, 9:35 am
On July 2, 1998, the Supreme Court Appellate Division First Department of New York was called upon to decide the issues in a case possibly involving a commercial truck accident. [read post]
7 Nov 2007, 12:41 pm
The alliance will provide ALI-ABA clients with customized access to SAI Global's compliance and risk management solutions to train staff and manage the integration of compliance and risk information into core business processes. [read post]
29 Sep 2016, 11:24 am
Ceresney, Director of the SEC Enforcement Division. [read post]
