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10 Mar 2021, 5:05 pm
While the Council’s role is to advise on whether to exclude companies from the GPFG or place them under observation, Norges Bank undertakes a number of activities to manage the risk that greenhouse gases represent. [read post]
10 Mar 2021, 4:28 pm
Moreover, it applies to both direct and indirect (through pooled vehicles) management of all of these assets. [read post]
10 Mar 2021, 7:34 am
By Amanda Maine, J.D.The co-chiefs of the SEC Enforcement Division’s Asset Management Unit (AMU) spoke with Investment Adviser Association General Counsel Gail Bernstein about the SEC’s policies on enforcement and asset managers. [read post]
9 Mar 2021, 12:22 pm
” As Justice Jabar references in his concurrence in Gordon, what was once a judicial taboo has become a best practice in docket management. [read post]
9 Mar 2021, 3:03 am
The risk alert also casts a spotlight on transfer agents using distributed ledger technologies and says the Examinations Division will review whether those services comply with Exchange Act Rules 17Ad-1 to 17Ad-7. [read post]
8 Mar 2021, 5:48 am
While overall, examinations were down 4 percent, OCIE still managed 15 percent coverage of examinations of investment advisers. [read post]
8 Mar 2021, 1:20 am
At the Paris Court of Appeal, there are two chambers specializing in intellectual and industrial property within the economic and commercial division, each composed of a president and two councilors. [read post]
8 Mar 2021, 12:55 am
At the Paris Court of Appeal, there are two chambers specializing in intellectual and industrial property within the economic and commercial division, each composed of a president and two councilors. [read post]
7 Mar 2021, 5:15 pm
On December 17, 2020, SEC created the Division of Examinations by renaming the now defunct, Office of Compliance Inspections and Examinations, making it the SEC’s 6th Division joining Enforcement, Corporation Finance, Trading and Markets, Investment Management, and Economic and Risk Analysis (DERA). [read post]
6 Mar 2021, 7:00 am
Department, Authority, Program and Foundation Audits Department of Health (DOH) Improper Fee-for-Service (FFS) Payments for Services Covered by Managed Care (Follow-Up) (2020-F-8)A prior audit identified over $36 million in improper Medicaid FFS payments for services that should have been covered by the recipients’ managed care plans. [read post]
6 Mar 2021, 7:00 am
Department, Authority, Program and Foundation Audits Department of Health (DOH) Improper Fee-for-Service (FFS) Payments for Services Covered by Managed Care (Follow-Up) (2020-F-8)A prior audit identified over $36 million in improper Medicaid FFS payments for services that should have been covered by the recipients’ managed care plans. [read post]
5 Mar 2021, 7:08 am
This announcement comes after Acting Chair Allison Herren Lee directed the Division of Corporation Finance to review existing disclosure guidance on climate-related risks and appointed Satyam Khanna to serve as Senior Policy Advisor for Climate and ESG in February. [read post]
5 Mar 2021, 6:03 am
Goldfarb and Alexandra Higgins, Okapi Partners, on Monday, March 1, 2021 Tags: Boards of Directors, Climate change, COVID-19, Cybersecurity, Disclosure, Diversity, ESG, Institutional Investors, Shareholder activism, Target firms An Introduction to Activist Stewardship Posted by Robert Eccles (Oxford University), Aeisha Mastagni (CalSTRS), and Kirsty Jenkinson (CalSTRS), on Monday, March 1, 2021 Tags: Boards of… [read post]
5 Mar 2021, 3:03 am
Yesterday’s announcement also follows Wednesday’s announcement of priorities for the Examinations Division for climate risks relating to brokers and investment advisors, as it seems like they’re going to scrutinize ESG investments. [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]
4 Mar 2021, 8:24 am
EXAMS’s leadership also calls out its newly operational Event and Emerging Risks Examination Team (EERT), which is tasked with enhancing the Division’s ability to identify and tackle emerging and exigent risks as they arise. [read post]
3 Mar 2021, 5:32 pm
LinkedIn SLP Health Care Risk Management & Operations Group, HR & Benefits Update Compliance Group, and/or Coalition for Responsible Health Care Policy. [read post]
3 Mar 2021, 2:00 pm
” CBS13 states that most of the whistleblowers mentioned in the initial article wanted to remain anonymous but one whistleblower and former lab manager Dr. [read post]
3 Mar 2021, 2:00 pm
” CBS13 states that most of the whistleblowers mentioned in the initial article wanted to remain anonymous but one whistleblower and former lab manager Dr. [read post]
3 Mar 2021, 9:13 am
Biden’s sweeping executive order titled “Creating a Comprehensive Regional Framework to Address the Causes of Immigration, to Manage Migration Throughout North and Central America, and to Provide Safe and Orderly Processing of Asylum Seekers at the United States Border” orders the secretary of homeland security to review some of these punitive policies, many of which have been subject to legal challenges in court. [read post]
