Search for: "DIVISION OF RISK MANAGEMENT"
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22 Feb 2011, 6:44 pm
State IA Exemption for Hedge Fund Managers – NASAA, the organization generally representing the state securities divisions, recommends that states should amend their investment adviser regulations to exempt from registration only those managers who provide investment advice solely to Section 3(c)(7) hedge funds. [read post]
1 Jul 2024, 11:12 am
The Colorado Division of Securities reportedly found McGehee guilty of violating the Colorado Securities Act by failing to disclose the risks and suitability of the options strategy to his clients, amounting to investment advisor fraud. [read post]
12 Jan 2012, 2:00 am
This information generally is included in registrants’ disclosures about risk factors, qualitative and quantitative market risks, and management’s discussion and analysis. [read post]
18 Oct 2016, 10:00 pm
The elderly, very young and people with weakened immune systems are at higher risk of more serious illness from noroviruses. [read post]
25 Feb 2021, 3:00 am
As part of its enhanced focus in this area, the staff will review the extent to which public companies address the topics identified in the 2010 guidance, assess compliance with disclosure obligations under the federal securities laws, engage with public companies on these issues, and absorb critical lessons on how the market is currently managing climate-related risks. [read post]
29 Nov 2011, 4:41 am
In short, NBC Universal Staples have invested money and risked their brand in part to launch this product. [read post]
15 Jun 2017, 5:30 am
The principles specifically cover: ethics, governance, compliance and risk management, information sharing, execution and settlement practices in the respective markets. [read post]
31 Aug 2010, 3:01 pm
This bill created the nine-member Texas Commission on Jail Standards, tasked with ensuring the proper management of county jails. [read post]
29 Nov 2011, 7:39 am
Filed Oct. 19, 2011), which already has a case management order in place. [read post]
30 Dec 2011, 9:06 pm
DePuy has engaged a risk management company, Broadspire, to deal with patient's medical claims. [read post]
6 Jun 2014, 3:17 pm
Division of Public Health to investigate a gastrointestinal illness outbreak among patrons of a local restaurant. [read post]
6 May 2017, 8:08 am
--Prospects and limits of risk management based approaches to human rights due diligence? [read post]
6 Jul 2016, 10:23 am
Mizer, head of the Justice Department’s Civil Division. [read post]
31 Jan 2023, 2:20 pm
The daughter noticed some irregularities, and in May of 2022, Prosper Wealth Management was audited by the Wisconsin Department of Financial Institutions Division of Securities (DFI.) [read post]
10 Feb 2014, 4:16 pm
Risk Management Needed In the face of this growing risks, businesses should recognize and take steps to monitor and manage their exposure to retaliation or other whistleblower claims. [read post]
20 May 2010, 4:10 pm
Covered employers may obtain the required poster from either: The applicable Federal contracting agency; The Division of Interpretations and Standards, Office of Labor-Management Standards, U.S. [read post]
31 Jan 2008, 12:42 am
He is a product management and marketing executive with more than 20 years of experience at top enterprise software and high technology companies, including running his own marketing consultancy in Silicon Valley.Prior to Kazeon, Steve was vice president of product management and marketing at GoRemote Internet Communications, a NASDAQ public company that was acquired by iPass, and vice president of marketing for the Oracle Application Server Division where he launched the… [read post]
22 Sep 2021, 7:00 am
The panel was presented by two PCAOB officials: Barbara Vanich, acting chief auditor and director of professional standards, Office of the Chief Auditor, and Glenn Tempro, associate director, Division of Registration and Inspections.2020 results. [read post]
4 Sep 2019, 12:45 pm
He also chairs two Executive Board subcommittees: the Ownership Committee and the Risk and Investment Committee. [read post]
6 Apr 2023, 7:58 am
Mercis B.V. has been managing and protecting the cartoonist's interests since 1971, as well exploiting relevant rights. [read post]
