Search for: "DIVISION OF RISK MANAGEMENT"
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21 Dec 2022, 6:03 am
Representative Huizenga added that “[t]hese innovators, entrepreneurs, and risk takers are critical to our country’s economic growth and prosperity. [read post]
11 Aug 2023, 9:22 am
It takes into account revenue, expenses, assets, liabilities, and risks associated with the business. [read post]
16 Apr 2023, 9:01 pm
I’d like to thank the members of the SEC staff who worked on this proposal, including: Tyler Raimo, Matt Cursio, David Garcia, Eugene Hsia, Megan Mitchell, Amir Katz, Joanne Kim, Haoxiang Zhu, David Saltiel, Andrea Orr, Eric Juzenas, David Shillman, Geeta Dhingra, Joanne Rutkowski, Jo Anne Swindler, Roni Bergoffen, Yue Ding, Sharon Park, and Marilyn Parker in the Division of Trading and Markets; Jessica Wachter, Paul Barton, Lauren Moore, Charles Woodworth, Zachery Kiefer, Seung Won… [read post]
4 Feb 2009, 9:01 am
The more you have to rely on people, the high the risk and the more work in the long run. [read post]
5 Jun 2015, 7:49 am
Instead of putting in place a vigorous legal compliance and risk-management solution, they rely on periodic audits and legal services. [read post]
14 Dec 2011, 2:46 pm
Additional Issues as Owner Banks should have sufficient staffing to manage their foreclosed properties portfolios and policies, procedures, and risk management systems in place to properly oversee and manage third-party relationships. [read post]
3 May 2023, 9:01 pm
Miller, Michelle Beck, Kevin Treharne, Trevor Tatum, and Steve Flantsbaum in the Division of Investment Management; Meridith Mitchell, Malou Huth, Natalie Shioji, Monica Lilly, and Cathy Ahn in the Office of the General Counsel; Jessica Wachter, Charles Woodworth, Alexander Schiller, Marina Martynova, Daniel Hiltgen, and Ross Askanazi in the Division of Economic and Risk Analysis; Daniel Faigus and Christopher Mulligan in the Division of Examinations;… [read post]
16 Jul 2019, 2:01 pm
Stamer has continuously worked with these and other management clients to design, implement, document, administer and defend hiring, performance management, compensation, promotion, demotion, discipline, reduction in force and other workforce, employee benefit, insurance and risk management, health and safety, and other programs, products and solutions, and practices; establish and administer compliance and risk management policies;… [read post]
5 Jul 2022, 9:37 am
The Acting Comptroller should ensure that the Compliance Risk Policy Division and Office of Midsize and Community Bank Supervision establish time frames for carrying out their plan to (1) centralize data on examiners’ rationales for not examining lending activities identified as having elevated fair lending risk, and (2) establish a process to track the outcomes of fair lending examinations. [read post]
19 Jun 2015, 5:10 am
Ohio EPA asserts that companies need authorizations from the Division of Surface Water [or Division of Materials and Waste Management] in order to be deemed protective of water resources. [read post]
4 Mar 2014, 6:14 am
BBH stated that the activity for which it has been fined is only one small section of the services that they offer and excludes their investment management and private banking divisions. [read post]
10 Jun 2022, 5:35 am
Simmon, Vice President for Chemical Products & Technology Division of American Chemistry Council. [read post]
15 Apr 2024, 10:00 pm
DOL’s Employee Benefits Security Administration division finalized amendments to Class Prohibited Transaction Exemption 84-14 (Qualified Professional Asset Manager Exemption or QPAM) which permits various parties related to employee benefit plans and IRAs to engage in transactions involving plan and IRA assets, provided they satisfy specified financial standards. [read post]
31 Mar 2015, 8:58 am
He is a frequent speaker and writer in data privacy law, and regularly conducts Incident Response Workshops for clients and their data breach risk management teams. [read post]
29 Jul 2021, 12:07 pm
This case arose out of another case involving Longwood Management Corporation. [read post]
23 Aug 2013, 9:00 am
She had previously worked as a pharmacy operations manager based in Wisconsin. [read post]
31 May 2016, 12:51 pm
This was done with the knowledge and approval of the company’s senior-most management. [read post]
16 Jul 2016, 10:00 am
Individuals can report allegations of fraud involving public funds by calling the toll-free Fraud Hotline at 1-888-672-4555, by transmitting an e-mail to investigations@osc.state.ny.us, by filing a complaint online athttp://osc.state.ny.us/investigations/complaintform2.htm or by mailing a complaint to Office of the State Comptroller, Division of Investigations, 14th Floor, 110 State St., Albany, NY 12236.Independent Review Finds State Pension Fund Strong, But Warns of Risks… [read post]
16 Dec 2022, 8:28 am
If a brokerage firm makes unsuitable investment recommendations or fails to adequately disclose the risks associated with an investment, they may be liable for investment losses through FINRA arbitration. [read post]
10 Jun 2011, 4:48 am
It’s the risk of doing a bad capital markets deal in the US, particularly a reverse merger or OTCBB listing. [read post]
