Search for: "DIVISION OF RISK MANAGEMENT"
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8 Oct 2019, 6:00 am
Has management considered which business divisions or units have responsibility for identifying, disclosing and managing material climate change-related risks and what their reporting lines are to senior management? [read post]
27 Jan 2015, 4:35 pm
Science provides the knowledge necessary to realize the benefits and manage the risks of the ocean. [read post]
25 Jul 2014, 7:11 am
Presence Exams and the Upcoming Industry Sweep The Investment Management Division is not the only SEC unit paying attention to these funds. [read post]
8 Nov 2011, 12:00 am
Would the risk of the Deepwater Horizon oil spill, which released approximately 4.9 million barrels of oil into the Gulf of Mexico last year, have been reduced if the agency responsible for enforcing offshore oil and gas regulations, Minerals Management Service (MMS), not also collected oil and gas revenues from the same companies it oversaw as a regulator? [read post]
10 Aug 2015, 7:20 am
In its response, the Division noted CVC’s representation that its policies and procedures are designed to evaluate the prospective investor's sophistication, financial circumstances and ability to understand the nature and risks of the securities to be offered. [read post]
21 Jun 2017, 8:27 am
Among other deficiencies, OIG found that the CFTC did not sufficiently address the possibility that the rule might undermine risk-hedging by market participants or exacerbate systemic risk in times of market stress. [read post]
13 Nov 2014, 6:30 am
He resides in the Boston area and works as a Qualified Loss Management Program provider working with high experience modification factor companies in the Massachusetts State Risk Pool. [read post]
22 Jul 2016, 10:34 am
Croteau has worked collaboratively with the SEC’s Division of Corporation Finance and the PCAOB to promote ongoing, coordinated, and increasingly integrated efforts on oversight of management and auditor assessments of the effectiveness of ICFR and has advised the Division of Enforcement with respect to ICFR matters. [read post]
30 Aug 2010, 8:29 am
Risk management is paramount, he emphasized. [read post]
2 Jun 2014, 4:11 am
As senior management are required to exercise care, skill and diligence and act in the best interests of a company, they should identify the principal risks faced by a business and implement appropriate systems to manage such risk (including compliance programs). 2. [read post]
1 Aug 2013, 4:18 pm
Written by: Jessica Brown On July 25, 2013, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management released its first annual report to Congress, as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), regarding how it used private fund data collected from investment advisers on Form PF. [read post]
11 Dec 2017, 4:00 am
Risk Management & Crisis Response 2. [read post]
2 Feb 2017, 6:04 pm
(SMS) (SMS Gap Analysis) identified the absence of risk management as a major finding and recommended that Children’s implement encryption to avoid loss of PHI on stolen or lost laptops. [read post]
25 Mar 2007, 7:16 pm
What about those management fees? [read post]
16 Dec 2008, 9:51 pm
If you're not proactively managing your situation, you increase the risk that you will go bust. [read post]
19 Jan 2023, 9:01 pm
But in providing transparency to the potential incentives, we are underscoring that a corporation that falls short of our expectations does so at its own risk. [read post]
1 Apr 2019, 12:15 pm
We will look at quantitative and qualitative disclosures about market risk to better understand each company’s approach to market risk management in this area. [read post]
13 Jan 2010, 1:02 pm
Specialized Units The five specialty units within the division are: Asset Management. [read post]
2 Jul 2019, 4:00 am
.* The Respondent's Director of Risk Management [Respondent] issued a determination adopting the Hearing Officer's findings and recommendation in its entirety whereupon Petitioner commenced a CPLR Article 78 proceeding challenging the Respondent's determination. [read post]
4 May 2017, 7:53 am
The Capital Requirements Directive IV (CRD IV) contains remuneration requirements that aim to ensure that remuneration policies are consistent with and promote sound and effective risk management, do not provide incentives for excessive risk taking and are aligned with the long-term interests of the institutions across the EU. [read post]
