Search for: "DIVISION OF RISK MANAGEMENT"
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1 Nov 2018, 9:07 am
Blass is the Director of the SEC’s Division of Investment Management, which has the thankless task of reading and commenting on registered investment fund disclosure documents. [read post]
27 Jan 2020, 6:15 am
While the complexity of cyber risks intensifies, together with an increasingly challenging privacy and security regulatory environment, the overall maturity of third-party risk management programs is barely keeping up. [read post]
25 Feb 2013, 7:29 am
Sites Targeted That Put Workers at Risk “The Ministry will continue to target sites that carry out work at height unsafely and those companies that put their workers at risk,” stated Francois Barton, the Ministry’s Southern Division general manager. [read post]
13 May 2011, 1:42 pm
The report delivers a clear message that the federal government should take an active role in managing these very serious risks. [read post]
29 Apr 2015, 9:20 am
In summary, the Guidance Update notes the Division staff’s view that funds and investment advisers may wish to consider the following in order to address cybersecurity risk in their... [read post]
26 Nov 2014, 4:31 am
"When new laws and regulations are contemplated, those responsible should take a walk through the dangerous neighborhoods so they can appreciate the risks, or at least talk to those who have been through those neighborhoods to acquire better sensitivity to abnormal characteristics.Creating law also requires risk management skills. [read post]
20 Feb 2013, 1:27 am
SEC Disclosure Guidance On October 13, 2011, the SEC’s Division of Corporation Finance released “CF Disclosure Guidance: Topic No. 2 – Cybersecurity. [read post]
6 Aug 2020, 6:30 am
Thank you to Director [Dalia] Blass and her excellent team in the Division of Investment Management for your several years of work developing today’s proposal to improve the information available to fund investors. [read post]
19 Dec 2019, 1:23 pm
CFG Bank named Michael Hoehn as chief credit and risk officer in its commercial division, where he will focus on asset and guidance line financings. [read post]
7 Feb 2022, 3:00 am
On January 27, the SEC’s Division of Examinations published a Risk Alert on the EXAMS staff Observations from Examinations of Private Fund Advisers. [read post]
11 Aug 2020, 6:30 am
Given the geographical disparity and the cost of travel, determining where gaps are challenges risk managers of decentralized companies. [read post]
13 May 2013, 8:35 am
Given the geographical disparity and the cost of travel, determining where gaps are challenges risk managers of decentralized companies. [read post]
23 May 2023, 9:01 pm
I am pleased to welcome everyone to the Division of Investment Management’s inaugural Conference on Emerging Trends in Asset Management. [read post]
12 May 2009, 10:00 am
I believe such proxy access is in no small measure about making boards more accountable for the risks undertaken by the companies they manage. [read post]
10 Dec 2020, 7:03 am
The post A Vital Award Fund that Protects Whistleblowers is at Risk. [read post]
27 Sep 2021, 8:33 am
Another break from the past is that a number of high-level positions have been filled from academia, including CorpFin, Division of Economic and Risk Analysis (DERA), and the Office of the General Counsel.Climate change disclosures. [read post]
27 Dec 2011, 11:20 am
Leppink, Deputy Wage and Hour Administrator, Wage and Hour Division, U.S. [read post]
10 Sep 2011, 6:28 pm
According to the Office of the Inspector General, by failing to abide by its own practices when hiring Henry Hu as Division of Risk director, as well as the guidelines provided by the Office of Personnel Management, the Securities and Exchange Commission unnecessarily spent $100,000. [read post]
8 Mar 2016, 8:33 am
The new office will consolidate and streamline OCIE’s risk assessment, market surveillance, and quantitative analysis teams and provide operational risk management and organizational strategy for OCIE.Peter B. [read post]
21 Feb 2023, 5:39 am
The Division of Insurance’s proposed regulations includes governance and risk management framework, documentation mandates, and reporting requirements. [read post]
