Search for: "DIVISION OF RISK MANAGEMENT"
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12 Apr 2022, 5:07 am
Conclusion Reinvigorating antitrust enforcement requires tolerance for litigation risk and skill in managing it. [read post]
11 Apr 2022, 9:01 pm
On March 23, 2020, the co-directors of the SEC’s Division of Enforcement remarked that corporate insiders “are regularly learning new material nonpublic information that may hold an even greater value than under normal circumstances,” especially given potential delays in disclosure filings and earnings releases. [read post]
7 Apr 2022, 3:17 pm
The One Big Thing Apple’s Project Breakout Needs but Doesn’t HavePYMNTS – April 4, 2022 Project Breakout is said to be Apple’s now-not-so-secret plan to turn itself into a full-fledged payments and financial services company by building its own acquiring, payments processing, risk management, fraud and credit underwriting capabilities. [read post]
6 Apr 2022, 4:37 pm
” The CFTC also published the Primer on Smart Contracts that cautioned about the risks of smart contracts. [read post]
5 Apr 2022, 7:14 pm
This proposed rule is the first-ever risk management rule issued under the new process for evaluating and addressing the safety of existing chemicals under the Toxic Substances Control Act (TSCA) that was enacted in 2016. [read post]
5 Apr 2022, 10:13 am
[viii] As Funeral Crowdfunding Grows, So Do the Risks, New York Times, pub. 06/07/2018; https://www.nytimes.com/2018/06/05/business/funerals-crowdsourcing-crowdfunding-scams.html? [read post]
4 Apr 2022, 12:10 pm
In addition, SAB 121 reminds reporting companies that disclosures regarding the material risks and uncertainties associated with holding digital assets may be required outside of the financial statements in the description of business, risk factors, or management’s discussion and analysis of financial condition and results of operation. [read post]
4 Apr 2022, 6:49 am
Case management matters. [read post]
1 Apr 2022, 12:16 pm
Year Q122 M&A+I Data Points Activity By Month (Q1 2022) January – 2 February – 2 March – 3 Activity By Month (Q1 2021) January – 3 February – 3 March – 4 Activity By Month (Q1 2020) January – 6 February – 2 March – 2 M&A+I Events (Running Listing: November 2001 – Today) Index: eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 15-March-22Fireman & CompanyEpiq… [read post]
30 Mar 2022, 3:36 pm
In addition, the Division will review the practices, controls, and investor reporting around risk management and trading for private funds with indicia or signs of systemic importance. [read post]
30 Mar 2022, 10:14 am
The EEOC released new guidance that helps employers support caregivers while avoiding discrimination risks that could arise. [read post]
27 Mar 2022, 7:43 am
According to Wealth Management, one analysis has 50 different types of family structures in American households. [read post]
25 Mar 2022, 11:57 am
” Polistina’s bill, S-2454, authorizes the director of the Division of Local government Services to oversee the fiscal management and expenditures of school district funds, including those under the direct oversight of a state monitor. [read post]
24 Mar 2022, 12:25 pm
A manager stated he could not risk giving promotions to female employees as they may become pregnant and choose to stay home with their children. [read post]
24 Mar 2022, 11:19 am
On February 24, 2021, Acting Chair Allison Herren Lee directed the Division of Corporation Finance to enhance its focus on climate-related disclosures.[4] On March 4, 2021, the SEC announced the creation of the “Climate and ESG Task Force” in the Division of Enforcement.[5] Amongst the task force’s responsibilities are the development of initiatives to identify ESG-related misconduct, identification of any material misstatements in registrants’ disclosures… [read post]
23 Mar 2022, 6:07 am
Broker-dealer Purshe Kaplan Sterling Investments was charged by the Massachusetts Securities Division with selling “unsuitable investments to investors while operating as independent investment advisers of Harvest Group Wealth Management,” according to thediwire.com. [read post]
21 Mar 2022, 4:29 am
New York County Commercial Division Justice Joel Cohen described the dispute in First Equity as “the aftermath of what had been an amicable business divorce. [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]
17 Mar 2022, 10:15 am
Given the critical role of derivatives clearing organizations in managing risk, Behnam supports additional tools to further strengthen registered DCOs, and the CFTC expects to grow its stress testing program. [read post]
