Search for: "DIVISION OF RISK MANAGEMENT"
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5 Oct 2011, 2:26 am
Risk Based Managed Accounts vs. [read post]
8 Dec 2021, 7:27 am
Managers should ensure that all trade errors are properly addressed pursuant to the manager’s trade errors policies by the end of the year. [read post]
8 Dec 2021, 11:27 am
Managers should ensure that all trade errors are properly addressed pursuant to the manager’s trade errors policies by the end of the year. [read post]
28 Dec 2013, 4:14 pm
An offender must be in the "care, custody, control or supervision" of a relevant agency like the State Department of Correctional Services or the Division of Parole with respect to a prior Designated Felony in order to be eligible for civil management. [read post]
19 Dec 2018, 4:36 pm
The President of the Family Division, Sir Andrew MacFarlane recently issued some guidance on the anonymisation of published judgments in family court cases. [read post]
29 Aug 2014, 10:59 am
The current head of the IRU was formerly a supervisory special agent with the EPA’s Criminal Investigation Division. [read post]
5 Mar 2012, 4:43 pm
Spying and snooping can also pose a significant risk. [read post]
15 Apr 2024, 3:04 am
Navigating AI Risks Through Proactive Measures AI can be a great tool for managing benefits, but it’s important to use it carefully. [read post]
18 Dec 2020, 7:34 am
These included the design and performance of audit procedures to address risk assessments related to revenue. [read post]
18 Dec 2023, 2:48 pm
The Division of Examinations publishes an annual list of priorities to signal its interest in particular compliance risk areas, of which advisers should be mindful. [read post]
19 Apr 2020, 7:52 am
A new “non-lawyer”, in particular, raises questions about the divisibility of work (different than the division of labor). [read post]
4 Nov 2013, 9:56 pm
”The complaint further alleges that J&J and Janssen were aware that Risperdal posed serious health risks for the elderly, including an increased risk of strokes, but that the companies downplayed these risks. [read post]
9 Dec 2021, 4:00 am
For example the agreement may call for site managers to meet to discuss a problem, then escalate to a senior project manager if they can’t agree. [read post]
5 Mar 2024, 12:41 pm
Nelson of the Civil Division’s Consumer Protection Branch and Assistant U.S. [read post]
9 Oct 2013, 4:44 am
Perhaps the attorney could recoup that cost in settlement or as part of an award, but perhaps not - let the attorney take the risk and then provide a reason why that risk should be rewarded.Applicant attorneys will argue that doing so would stifle litigation, that they don't have the cash flow to finance a case in such manner, and that they don't have the time or resources to manage their copy requests.Malarkey. [read post]
9 Oct 2013, 4:44 am
Perhaps the attorney could recoup that cost in settlement or as part of an award, but perhaps not - let the attorney take the risk and then provide a reason why that risk should be rewarded.Applicant attorneys will argue that doing so would stifle litigation, that they don't have the cash flow to finance a case in such manner, and that they don't have the time or resources to manage their copy requests.Malarkey. [read post]
15 Mar 2018, 6:22 am
SEC personnel who participate in the panels typically include officers from the Office of Compliance Inspections and Examinations, the Division of Investment Management, and the Division of Enforcement’s Asset Management Unit, as well as officers from other SEC divisions or offices. [read post]
13 Aug 2018, 9:49 am
The Complaint stated that officers of the financial crimes compliance division figured Rollins was a party to an unlawful scheme.Apparently, in September of 2016, Rollins was interviewed by Goldman Sachs International’s securities compliance leader, Anil Karpal, as well as other financial crimes compliance division investigators. [read post]
24 Mar 2020, 3:49 pm
The Division of Investment Management granted no-action relief based on a request from the Investment Company Institute (ICI) for affiliates of money market funds. [read post]
18 May 2022, 9:01 pm
Predictive data analytics, including machine learning, are increasingly being adopted in finance — from trading, to asset management, to risk management.[5] Growing cybersecurity risks have implications for the financial sector, investors, issuers, and the economy at large.[6] Beyond that, our responsibilities have grown. [read post]
