Search for: "DIVISION OF RISK MANAGEMENT"
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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]
4 Nov 2011, 6:20 am
On November 3, 2011, Eileen Rominger, Director of the SEC’s Division of Investment Management (the “Division”), in a speech to attendees of the ALI-ABA Conference on Life Insurance Company Products, focused on several issues regarding the regulation of variable insurance products and how the current market has seen a multitude of product design innovations. [read post]
4 Mar 2021, 9:26 am
The Division published a Risk Alert that you should read if your firm has digital assets in client accounts. [read post]
6 Jun 2013, 6:20 am
Before I begin, I would like to recognize the efforts of the staff throughout the SEC, especially the Division of Investment Management and the Division of Risk, Strategy, and Financial Innovation. [read post]
15 Apr 2014, 2:32 pm
Lewis, Chief Economist and Director of the SEC's Division of Economic and Risk Analysis delivered remarks on... [read post]
3 Feb 2022, 3:35 am
In addition to two rule proposals from the Division of Investment Management (with one of those dealing with cybersecurity risk management for registered investment advisers and investment companies), the Commission will consider a proposal from the Division of Trading and Markets to shorten the standard settlement cycle for most securities transactions, as well as a proposal from the Division of Enforcement’s Office of the Whistleblower… [read post]
12 Apr 2018, 7:01 pm
FLSA & Other Wage & Hour Law Exposures & Enforcement Mounting Legal & Business Risk U.S. employers and leaders with wage and hour management authority risk substantial liability from unresolved violations of the FLSA and other federal and state wage and hour laws. [read post]
31 Oct 2011, 12:47 pm
Managing money after divorce is often challenging for both spouses, but women may have a tougher time and be at higher risk for financial problems, according to Reuters News. [read post]
1 Aug 2017, 2:48 am
Others feel they can manage an amicable divorce better on their own than with an attorney. [read post]
15 Aug 2016, 12:29 pm
”The SEC Enforcement Division alleges that Lathen, Eden Arc Capital Management, and Eden Arc Capital Advisors violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. [read post]
26 Oct 2020, 9:32 am
The CFTC staff Advisory is intended to provide guidance to FCMs on developing risk management programs for holding virtual currency as futures customer funds. [read post]
3 Jun 2020, 8:36 am
Department of Justice Criminal Division Additional Reading The Workstream of eDiscovery: Considering Processes and Tasks New From NIST: Integrating Cybersecurity and Enterprise Risk Management (ERM) Source: ComplexDiscovery The post Evaluating Corporate Compliance Programs? [read post]
22 Jul 2007, 2:19 pm
Last Thursday, I participated in a program on Lawyer Blogging, hosted by the Technology Committee of Philadelphia Bar Association's Law Practice Management Division. [read post]
1 Feb 2024, 2:52 pm
The post Graceful Exits: Identifying Challenges Facing Aging Attorneys and Managing Ethical Risks [Panel Discussion] appeared first on Lawyers Concerned for Lawyers | MA. [read post]
8 Jun 2021, 5:56 am
For more on this priority shift, see Simpson Thacher, The SEC Under New Management—Outlook for 2021 and Beyond. [read post]
12 Jan 2023, 7:03 am
The son thus placed at risk everyone who worked in the building, as well as their families, neighbors, and others in the community. [read post]
31 Jan 2017, 7:28 pm
The ruling holds that no inclusion results for the subtrusts under Code §§2035-38 since “the distribution, management, and termination provisions of the [s]ubtrusts will be substantially similar to the current distribution, management, and distribution provisions of the respective [t]rust. [read post]
5 Jan 2021, 9:44 am
Late last year, the SEC’s Office of Compliance Inspections and Examinations (OCIE), now known as the Division of Examinations, issued a compliance risk alert warning investment advisers to ensure that their compliance programs are uniform and are uniformly applied across all branch office locations. [read post]
21 Mar 2013, 11:14 am
We were delighted to have an opportunity to talk via live video conference with two of our distinguished LL.M. alumni last Friday.Brandon Willis was recently confirmed as the Administrator of the Risk Management Agency (RMA) at the USDA. [read post]
14 Apr 2021, 6:00 am
On Friday, the SEC’s Division of Examinations published a risk alert, [1] describing the areas on which the staff is focusing in examinations of registered investment advisers’ and funds’ ESG offerings. [2] This alert comes as many financial firms are finding gold in the green—they are offering ESG products because it is lucrative to do so. [read post]
