Search for: "DIVISION OF RISK MANAGEMENT"
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23 Dec 2011, 10:29 am
Derivatives are generally used for hedging, investment purposes, and overall risk management in financial markets. [read post]
29 Apr 2018, 3:03 pm
One of the trendy concepts in certain circles in recent years has been the idea of litigation management bylaws – that is, the adoption by company of bylaw provisions that help manage the company’s litigation risks. [read post]
24 May 2019, 10:46 pm
Stamer’s legal, management, governmental affairs work and speaking and publications have focused on helping health industry, health benefit and other organizations and their management use the law, performance and risk management tools and process to manage people, performance, quality, compliance, operations and risk. [read post]
13 Aug 2009, 3:30 pm
DYCD contract managers conduct regular site visits to all TIL programs. [read post]
3 May 2022, 6:02 am
Both CT Corporation and ELM Solutions are part of Wolters Kluwer’s Governance, Risk & Compliance (GRC) division. [read post]
15 Aug 2011, 6:39 am
This lack of accountability poses a risk of abuse and runs afoul of the statutory scheme imposing broad fiduciary duties of disclosure and accounting on a managing spouse. [read post]
15 Aug 2011, 6:39 am
This lack of accountability poses a risk of abuse and runs afoul of the statutory scheme imposing broad fiduciary duties of disclosure and accounting on a managing spouse. [read post]
11 Mar 2022, 8:20 am
Tricoli stressed that Schwab has a very vigorous process for technology risk management. [read post]
27 Oct 2009, 8:59 pm
The Morgan Keegan fund manager is named in other cases for allegedly failing to disclose the risks associated with the mutual fund investments. [read post]
5 Sep 2012, 11:31 am
The SEC’s Division of Enforcement alleges Lucia claimed that the wealth management strategy he promoted at the seminars had been empirically “backtested” over actual bear market periods. [read post]
5 Sep 2012, 11:31 am
The SEC’s Division of Enforcement alleges Lucia claimed that the wealth management strategy he promoted at the seminars had been empirically “backtested” over actual bear market periods. [read post]
Evergreen Pays Over $40 Million to Settle SEC Charges that it Overvalued Mortgage-Backed Investments
9 Jun 2009, 10:53 am
Evergreen Investment Management Company ("Evergreen"), a unit of Wells Fargo & Co., has agreed to pay more than $40 million to settle an enforcement action by the Securities and Exchange Commission ("SEC") and the Massachusetts Securities Division, according to articles in the Wall Street Journal and Reuters. [read post]
24 Jun 2024, 9:01 pm
In addition to annual report reviews, Division staff considers trends and emerging risks in the market where our additional focus could significantly improve disclosures. [read post]
6 Aug 2013, 9:36 am
A look at federal and state action on cybersecurity risks provides some critical background. [read post]
11 Mar 2016, 4:29 pm
Consequently, the firm’s Form 204 reports were inaccurate going back to at least January 2000.Upon discovering the error, CHS updated its compliance procedures and hired a permanent trade risk compliance officer and director of enterprise risk management.$1 million fine. [read post]
25 Nov 2013, 8:06 am
A new computerized management system was also installed. [read post]
13 Feb 2023, 5:59 am
Risk Analysis and Attendant Considerations A. [read post]
13 Oct 2021, 10:38 am
The sample comment letter focuses on three main areas: (i) general disclosure, (ii) risk factors and (iii) management’s discussion and analysis (MD&A) of financial condition and results of operations. [read post]
8 Feb 2012, 3:00 am
The strained economy gives these managers a reason to say no. [read post]
23 Feb 2018, 8:16 am
Liquidity risk management. [read post]
