Search for: "DIVISION OF RISK MANAGEMENT"
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13 Oct 2016, 7:57 pm
Audit of the Drug Enforcement Agency Management and Oversight of its Confidential Source Program, Audit Division 16 -33. [read post]
1 Mar 2018, 7:10 am
By Jacquelyn Lumb Staff from the SEC’s Division of Investment Management reviewed the past year’s developments in cryptocurrencies and blockchain at the Practising Law Institute’s SEC Speaks conference. [read post]
17 Apr 2013, 1:13 pm
The 28 page bill authorizes the Director of the Division of Real Estate to promulgate rules to enforce the new requirements. [read post]
12 Jul 2019, 1:05 pm
Information may be shared by e-mail to LIBOR@sec.gov or directly to the staff of the Division of Corporation Finance at CFORS@sec.gov, the Division of Investment Management at IMDRAO@sec.gov, the Division of Trading and Markets at TRADINGANDMARKETS@sec.gov, or the Office of the Chief Accountant at OCA@sec.gov.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
28 Jun 2021, 3:10 am
Rather, as the District Court properly found, Najjar assumed the risk of not receiving distributions from the hotel’s operations if it performed poorly. [read post]
16 Jan 2013, 5:27 pm
Broadly, the Division urged the Commission not to rely on the "wisdom of the crowd" theory because it is effective at exposing only the simplest form of fraud, and not those forms of fraud that pose the greatest risk to investors. [read post]
2 Jun 2022, 7:13 am
Who Should Do What on Legal and Regulatory Risk? [read post]
31 Jan 2022, 9:15 am
On January 27, 2022, the Division of Examinations (“EXAMS”) of the U.S. [read post]
28 Jan 2016, 7:34 am
On January 20, 2016, the Wage & Hour Division of the U.S. [read post]
26 Nov 2013, 12:11 pm
”The enforcement action stems from an ongoing analysis of money market fund data by the SEC’s Division of Investment Management, in this case a review of the gross yield of funds as a marker of risk. [read post]
3 Nov 2021, 11:00 am
In January 2020, Beck became division president for risk management at Clark Construction Group, a major national builder based in Bethesda, Md., with more than 4,000 employees across the U.S. [read post]
6 Jun 2013, 7:08 am
A disclosure guidance provides the views of a specific division of the SEC (in this case, the Division of Corporation Finance) regarding disclosure obligations (in this case, disclosure obligations relating to cybersecurity risks and cyber incidents). [read post]
6 Oct 2016, 10:47 am
” The Office of Analytics and Research provides expertise in quantitative data analysis, trading, portfolio management, and risk management, and examines topics such as market structure, new products, and rule filings by exchanges. [read post]
25 Feb 2019, 6:20 am
In October 2018, we wrote an article on airline restructuring and insolvency[1], where we considered the key operational risks which have implications for airline survival. [read post]
15 Sep 2016, 7:36 am
"Jennifer thoroughly understands our capital markets and how regulation affects them,” said Mark Flannery, Director of the Division of Economic and Risk Analysis. [read post]
16 Jan 2013, 6:14 am
I’ll discuss the importance of specialization and expertise to this effort; the risks for investors; how these risks are informed by the hedge fund operating model; and how a hedge fund manager’s business may be at odds with the manager’s fiduciary duty to the fund. [read post]
29 Oct 2018, 7:23 am
What role should risk management play? [read post]
17 Apr 2009, 2:10 pm
A recent white paper released by the Human Capital Management Division of the IBM Institute for Business Value confirmed several things we already know in giving recommendations for how organizations should cope with the economic crisis. [read post]
13 Jan 2022, 12:13 pm
Department of Veterans Affairs has a new director of its Office of FOIA, Records and Assessment Compliance: Richard Thompson, who has been detailed from the department’s Enterprise Risk Management division. [read post]
14 Nov 2013, 8:51 am
In those circumstances, customers should be aware of the inherent risks in including IT assets in an IT managed services agreement and structure the transaction to minimize the risks. [read post]
