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4 Mar 2021, 8:24 am
EXAMS’s leadership also calls out its newly operational Event and Emerging Risks Examination Team (EERT), which is tasked with enhancing the Division’s ability to identify and tackle emerging and exigent risks as they arise. [read post]
18 Jun 2021, 5:55 am
Turner, Hemming Morse LLP, on Thursday, June 17, 2021 Tags: Accounting, Accounting standards, Enron, FASB, PCAOB, Sarbanes–Oxley Act, SEC, SEC enforcement, Securities enforcement, Securities regulation Trust: A Critical Asset Posted by Don Fancher, Jennifer Lee, and Debbie McCormack, Deloitte, on Thursday, June 17, 2021 Tags: Board oversight, Boards of Directors, Compliance & ethics, Corporate… [read post]
19 Nov 2018, 7:03 am
By John Filar AtwoodIn the upcoming filings season, the staff of the SEC’s Division of Corporation Finance will be looking closely at disclosure on the degree to which the board oversees the management of the company’s cybersecurity risks. [read post]
9 Mar 2018, 6:45 am
While the use of dual-class structures can benefit the founders of companies that have recently gone public by allowing them to retain control in the face of investor pressure for short-term gains, they can also create risks, such as difficulty influencing management, an increased risk of divergent views over strategy and conflict or litigation over these views, risks that those with small ownership interests will use their voting to control to approve changes in… [read post]
19 May 2012, 4:16 pm
He previously worked for Salomon Brothers, Credit Suisse First Boston, and Cantor Fitzgerald (CANTRP), where he also was president of its asset management and debt capital markets divisions. [read post]
10 Jan 2020, 6:10 pm
” About Kroll, a Division of Duff & Phelps Kroll is the leading global provider of risk solutions. [read post]
1 Mar 2011, 3:08 pm
Trial Division Internet v. [read post]
7 Apr 2010, 7:14 pm
©2010 Amaxx Risk Solutions, Inc. [read post]
19 Mar 2022, 7:30 am
Charlottesville, Virginia; Reed Elsevier, Inc.; Lexis Law Publishing Division; Volume 18, pp. 117-43, 1998; Michaels, RA. [read post]
19 Mar 2022, 7:30 am
Charlottesville, Virginia; Reed Elsevier, Inc.; Lexis Law Publishing Division; Volume 18, pp. 117-43, 1998; Michaels, RA. [read post]
18 May 2017, 6:55 am
At the same time Merrill Lynch is rolling back its recruitment of veteran brokers, it is aggressively expanding its wealth management division. [read post]
29 Dec 2021, 12:00 pm
A strong example of this was seen in December 2019 when BlackRock, a US investment manager responsible for around USD6 trillion in assets, wrote to 120 companies requesting clearer, more comprehensive disclosure of climate change risks. [3] Activist investors are also disrupting operations to force change, as seen in Poland when ClientEarth purchased €20 of shares in energy company Enea. [read post]
15 Jan 2014, 11:40 am
Collectively, these entities manage nearly $55 trillion for investors. [read post]
29 Nov 2011, 11:19 am
Special thanks to our sponsor, Firm Manager. [read post]
16 May 2010, 9:55 am
The CONTENT division would be responsible for creating and managing all public and private content. [read post]
28 Feb 2012, 7:06 pm
©2012 Amaxx Risk Solutions, Inc. [read post]
29 Apr 2020, 4:59 am
Duhnke III; SEC Chief Accountant Sagar Teotia; SEC Division of Corporation Finance Director William Hinman; and SEC Division of Investment Management Director Dalia Blass. [read post]
29 Jan 2020, 6:14 am
My perception, which is reinforced by Evans’ and Miller’s article – is that the fair lending risks involved here, and general principles of vendor management, will cause regulators to have little tolerance when a financial institution uses an ad-targeting platform without having adequate insight into the factors used to select consumers to receive advertisements. [read post]
15 May 2019, 7:56 am
Wolters Kluwer’s ELM Solutions is organized under WK’s Governance, Risk & Compliance division and operates separately from its Legal & Regulatory division. [read post]
12 May 2010, 9:13 pm
This position will report directly to the East Division General Counsel.Employee Responsibilities:This person will be expected to provide advice and counsel to regional and department management and other clients on real estate matters with an emphasis on the acquisition and development of real estate for new McDonald's restaurant sites. [read post]
