Search for: "DIVISION OF RISK MANAGEMENT"
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6 May 2021, 6:00 am
The Securities and Exchange Commission’s (SEC, or Commission) Division of Examinations (Division) recently issued a Risk Alert highlighting staff observations from examinations of investment advisers, registered investment companies and private funds (firms) engaged in environmental, social, and governance (ESG) investing. [read post]
7 Oct 2015, 5:30 am
“Her experience in executive-level communications, strategic planning, budget management and external relations will be an asset to the Division and our agency. [read post]
17 Oct 2018, 4:19 pm
HIPAA Entities should strive to ensure that their HIPAA enterprise wide risk assessment and compliance efforts are properly coordinated and administered to manage these overall risks and responsibilities in addition to their HIPAA-specific responsibilities and liabilities. [read post]
7 Feb 2019, 3:03 pm
” Among other things, the corrective action plan requires Cottage Health to: Conduct an enterprise-wide risk analysis of the potential risks and vulnerabilities to the confidentiality, integrity, and availability of ePHI held by Cottage Health (“Risk Analysis”) that OCR views as satisfactory to meet the requirements of 45 CFR 164.308(a)(1)(ii)(A); Develop and implement a risk management plan to address and mitigate any security… [read post]
20 Jan 2016, 1:02 pm
Breeden before joining the Division of Investment Management in 1993.Ms. [read post]
16 May 2015, 8:10 am
In this episode of The Un-Billable Hour, Christopher Anderson interviews Carol Lynn Grow and Jack Grow from Law Toolbox about the risks inherent in deadline-driven practices and why it is important to manage law firm risk with rules-based docketing. [read post]
25 Mar 2019, 5:00 am
Via a no-action letter to the Investment Adviser Association, the SEC’s Division of Investment Management invited comments on questions that have arisen since the agency’s 2017 guidance update on the custody rule under the Investment Advisers Act. [read post]
27 Jul 2021, 8:53 am
The Division published the risk alert on fixed-income principal and cross trades as a follow-up to its September 2019 alert on this topic. [read post]
7 Jan 2021, 3:11 pm
That puts it on equal name status with Corporate Finance, Investment Management, Trading and Markets, Economic and Risk Analysis and Enforcement. [read post]
21 Dec 2021, 4:10 pm
Over the last two years, Human Resources professionals and Risk Managers have contended with a host of novel issues raised by the COVID-19 pandemic. [read post]
29 Jul 2014, 7:00 am
Further, the SEC’s Enforcement Division will also likely return to areas that it has not pursued as vigorously as it once did because of limited resources, such as accounting fraud and micro-cap stock fraud, as well as pursue some new areas as well, including the market access rule, Securities Exchange Act of 1934 Rule 15c3-5, prohibiting companies from providing customers with unfiltered access to an exchange or alternative trading system and requiring broker-dealers to put in… [read post]
30 Jul 2020, 11:10 am
The Commission took steps to address this risk in 2016 by adopting a modernized framework for liquidity risk management, Blass stated. [read post]
25 Mar 2019, 2:06 pm
Kothari, Director of the Division of Economic and Risk Analysis; and Brett Redfearn, Director of the Division of Trading and Markets.Since joining the agency in June 2017, Mr. [read post]
19 Dec 2022, 5:58 pm
LEP Initiative The Civil Rights Division’s Federal Coordination and Compliance Section in partnership with U.S. [read post]
30 Mar 2015, 6:43 am
Brandon Willis, Administrator of the Risk Management Agency (RMA) at the USDA made a special visit to the LL.M. [read post]
2 Nov 2010, 1:00 pm
SEC's Open Meeting Agenda, November 3, 2010 Item 1: Risk Management Controls for Brokers or Dealers with Market Access Office: Division of Trading and Markets Item 2: Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps Office: Division... [read post]
13 Feb 2019, 12:37 pm
Division of Clearing and Risk (“DCR”) The scope and methodology for each examination is risk-based and individually tailored to the unique characteristics of the DCO and the products it clears. [read post]
13 Jan 2013, 5:34 am
On December 6, 2012, in a speech to the American Law Institute's Conference on Investment Adviser Regulation in New York City, Norm Champ, Director of the Division of Investment Management, announced the SEC has reversed course and "will no longer defer consideration of exemptive requests under the Investment Company Act relating to actively managed ETFs that make use of derivatives." [read post]
17 May 2022, 12:30 pm
Grewal, Director of the SEC’s Division of Enforcement. [read post]
24 Jul 2022, 6:30 am
NBIM is the investment management division of the Norwegian Central Bank and is responsible for investing the Norwegian Government Pension Fund Global. [read post]
