Search for: "DIVISION OF RISK MANAGEMENT"
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26 May 2022, 9:03 pm
There also is a risk that funds and investment advisers mislead investors by overstating their ESG focus. [read post]
26 May 2022, 9:01 pm
Among other things, would such a rule set a precedent for SEC micromanagement of asset management? [read post]
25 May 2022, 9:03 pm
Partisan divisions are giving away to share to the outrage about the formula shortage that lawmakers are learning isn’t going away anytime soon. [read post]
25 May 2022, 9:01 pm
The SEC’s Division of Corporate Finance first issued Guidance Topic No. 9 on March 25, 2020. [read post]
25 May 2022, 5:47 am
One solution that I have is a directive to have all internal emails that are directed to “All staff” be approved by a manager, and that a manager must be cc’d on all of their emails. [read post]
24 May 2022, 5:00 am
Aderton, Co-Chief of the SEC Enforcement Division’s Asset Management Unit and a member of the Task Force. [read post]
22 May 2022, 7:01 am
To advance their geopolitical interests, Russia and China exploited the openness of society in NATO allies and the divisions between them over the past decade. [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]
19 May 2022, 6:03 am
Sources: Management Science Associates Inc., state revenue departments, author calculations. [read post]
18 May 2022, 9:01 pm
Predictive data analytics, including machine learning, are increasingly being adopted in finance — from trading, to asset management, to risk management.[5] Growing cybersecurity risks have implications for the financial sector, investors, issuers, and the economy at large.[6] Beyond that, our responsibilities have grown. [read post]
18 May 2022, 6:09 pm
I was delighted to be asked to chat with the marvelous Ricardo Kometar about the leak of the draft opinion in Dobbs v. [read post]
17 May 2022, 12:30 pm
Grewal, Director of the SEC’s Division of Enforcement. [read post]
17 May 2022, 8:34 am
If you haven’t turned on MFA (multi-factor authentication) it is at the top of the list of ways to reduce your risk. [read post]
17 May 2022, 8:02 am
Now more than ever, cybersecurity is not just an “IT” problem but an issue that must be addressed by management as a core enterprise risk. [read post]
17 May 2022, 1:28 am
This includes cases in the Court of Protection and Family Division when they sit in First Avenue House in central London. [read post]
16 May 2022, 9:01 pm
It is behavior that frustrates our processes, puts investors at risk, and contributes to that declining trust I described. [read post]
15 May 2022, 9:01 pm
On May 3, 2022, the Division of Corporation Finance (“CorpFin”) of the U.S. [read post]
14 May 2022, 1:51 am
On Thursday, Judge James Donato of the United States District Court for the Northern District of California (San Francisco Division) held a case management hearing that he scheduled at the same time he stayed a preliminary-injunction motion by Epic Games relating to Epic's recently-acquired Bandcamp music marketplace, whose Android app Google has threatened to kick out of the Google Play Store unless Bandcamp complies with an in-app purchasing (IAP) policy change (mislabeled… [read post]
13 May 2022, 7:09 am
The sooner you can pay off and close joint credit accounts, the sooner you can prevent the risk of being held responsible for debt that you did not accrue. [read post]
13 May 2022, 6:30 am
Securities and Exchange Commission, on Thursday, May 12, 2022 Tags: Cryptocurrency, Derivatives, SEC, SEC rulemaking, Securities regulation, Swaps, Systemic risk, Transparency [read post]
