Search for: "DIVISION OF RISK MANAGEMENT"
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4 Oct 2016, 7:19 am
The complaint said the Division’s enforcement section learned of the Morgan Stanley sales contest when an ex-Morgan Stanley adviser replied to a Division inquiry asking why he had left the firm. [read post]
15 Oct 2021, 5:42 am
The Division of Corporation Finance panel was held October 12 and was moderated by Renee Jones, director. [read post]
10 Jul 2012, 6:41 pm
The consent order announced by the Labor Department Wage and Hour Division today (July 10, 2012) reminds U.S. businesses of the need to meet compliance responsibilities when employing foreign workers and illustrates the significant risks that employers of foreign workers risk by failing to meet minimum wage and hour, overtime, vis, I-9 and other requirements for employing foreign workers. [read post]
20 Apr 2023, 6:37 am
“Accounting firm EY calls off ‘Project Everest’ to break up firm” — “Accounting firm EY has called off its plan to break up its auditing and consulting divisions. [read post]
8 Dec 2011, 6:00 am
“We’re using risk analytics and unconventional methods to help achieve the holy grail of securities law enforcement — earlier detection and prevention,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. [read post]
20 Jun 2013, 6:08 am
We view tax avoidance as one of many investment opportunities that is available to managers. [read post]
12 Dec 2013, 10:14 am
The investigation came out of the SEC’s Aberrational Performance Inquiry, pursuant to which the Enforcement Division’s Asset Management Unit identifies suspicious performance through risk analytics. [read post]
4 Apr 2022, 12:10 pm
In addition, SAB 121 reminds reporting companies that disclosures regarding the material risks and uncertainties associated with holding digital assets may be required outside of the financial statements in the description of business, risk factors, or management’s discussion and analysis of financial condition and results of operation. [read post]
26 Apr 2022, 6:52 am
In addition, SAB 121 reminds reporting companies that disclosures regarding the material risks and uncertainties associated with holding digital assets may be required outside of the financial statements in the description of business, risk factors, or management’s discussion and analysis of financial condition and results of operation. [read post]
10 Mar 2022, 1:49 pm
Second, the proposed rules address risk management and governance disclosure requirements. [read post]
30 Jul 2019, 8:17 am
There are significant legal and business implications as a result of the new policy, which further underscore the importance of establishing and maintaining an effective and robust compliance program to minimize risks and exposure.I. [read post]
20 May 2022, 6:21 am
The only other division to see staffing growth over the same period was the Division of Investment Management, but Gensler attributed that growth to the creation of an analytics office within the division.The Division of Trading and Markets and the Division of Economic and Risk Analysis, said Gensler, both saw decreases in staffing since FY16 (1 percent and 7 percent, respectively). [read post]
17 Aug 2021, 9:46 am
The three contracts Steel Point identified were Deloitte’s cybersecurity risk management and assessment (CRMA) contract, Deloitte’s human resource management contract and a contract performed through various task orders issued under the agency’s contracting program where Deloitte served as a subcontractor. [read post]
2 Oct 2023, 10:41 am
Sam is a lawyer and Divisional Director, and Carey is a lawyer and Managing Director, in the Financial Lines division of Howden. [read post]
14 Apr 2020, 1:11 pm
COVID-19 Investment Management Related Updates Below is our compilation of communications that are relevant to investment managers. [read post]
16 Sep 2014, 11:40 am
Social regulation, and the regulation of market activities required a distinct type of government culture—one that need to play not merely the role of legislator, executive and judge, but also the increasingly important role of manager. [read post]
23 Mar 2016, 2:38 pm
Employers, consultants and others involved in labor-management relations management or training will want to review and update their risk management and compliance practices in light of this impending change. [read post]
17 Jan 2014, 11:58 am
Risk Can Be Managed. [read post]
10 Oct 2022, 5:01 am
Civil Investigative Demands (CIDs) & Collateral Enforcement Risks: A Review (October 12, 2022): The False Claims Act is the primary civil enforcement tool utilized by our government today. [read post]
16 Mar 2021, 8:30 am
The shareholder proposal process is a key mechanism for engagement by shareholders with company management, including on ESG-related issues such as climate change, workforce diversity, independent board leadership, and corporate political spending, she said.Advising that ESG risks and climate risks in particular do not observe jurisdictional boundaries, Lee reiterated her support for IOSCO’s statement calling for the creation of a Sustainability Standards Board. [read post]
