Search for: "DIVISION OF RISK MANAGEMENT"
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28 Oct 2021, 8:00 pm
A taxpayer considering participating in the managed audit program should carefully weigh the program’s benefits and risks. [read post]
15 Apr 2019, 11:03 am
MA Regulators Reportedly Charge Oakdale Wealth Advisers with Unsuitable Oil & Gas Investments Have you suffered losses investing in high risk oil & gas investments with Oakdale Wealth Management? [read post]
31 Oct 2023, 9:01 pm
Consider and address elevated risks of conflict of interest for compliance officers who wear multiple hats and whose activities may often fall outside the purview of traditional compliance work, such as compliance officers who also hold roles of general counsel, chief financial officer or chief investment officer. [read post]
14 Aug 2012, 12:19 pm
Our personal favorite: Q: Does bona fide hedging include equitization of cash or risk management? [read post]
14 Aug 2012, 12:19 pm
Our personal favorite: Q: Does bona fide hedging include equitization of cash or risk management? [read post]
10 Nov 2010, 8:30 am
Next up – an Update from the Division of Corporation Finance. [read post]
8 Mar 2012, 7:00 am
The SEC Staff will be using the information it compiled from its risk assessment review of private equity firms in this endeavor. [read post]
11 Apr 2016, 11:28 am
Sprung’s tenure was building a nationwide team within the Enforcement Division that developed expertise in the asset management industry and partnered with other SEC divisions and offices on examination sweeps, rulemakings, and more effective detection of emerging risks. [read post]
30 Aug 2010, 4:01 pm
SIFMA said that ultimately the risk managers of the clearinghouse are the ones who need to figure out how to manage these risks and manage these conflicts. [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]
3 Jun 2010, 12:49 pm
From the Division’s vantage point, the program posed little risk of facilitating anticompetitive conduct; rather, the most likely effect of the program would be to increase transparency about the relative costs and utilization rates of hospitals that participated in the survey. [read post]
4 Apr 2011, 8:53 am
Quirky Question # 171: I’m the HR Director for a company with a significant sales division. [read post]
8 Sep 2013, 7:40 am
The City maintained that this responsibility was particularly important in divisions like the fire department, whose purpose was public safety. [read post]
5 Feb 2011, 8:05 am
The second panel of the day is the Division of Investment Management. [read post]
11 Jan 2016, 11:12 am
Riewe, Co-Chief of the Enforcement Division’s Asset Management Unit, is planning to leave the agency next month. [read post]
26 Jul 2022, 9:01 pm
Here, too, I believe that the Division of Investment Management has an important role to play. [read post]
9 Jun 2009, 10:46 am
Court of Appeal (Civil Division) Shah v Ul-Haq & Ors [2009] EWCA Civ 542 (09 June 2009) Baker v Quantum Clothing Group & Ors [2009] EWCA Civ B12 (05 June 2009) Brent London Borough Council v Risk Management Partners Ltd [2009] EWCA Civ 490 (09 June 2009) High Court (Commercial Court) Webster Thompson Ltd v J G Pears (Newark) Ltd [...] [read post]
11 Dec 2019, 6:54 am
10 years into my legal career I accepted a corporate client’s offer to run one of its divisions as a general manager. [read post]
2 Mar 2021, 6:04 am
” As part of this enhanced focus, the SEC staff will: (1) review the extent to which public companies have addressed the topics identified in the 2010 guidance (e.g., impact of legislation and regulation, impact of international accords, indirect consequences of regulation or business trends, physical impacts of climate change such as severe weather, etc.); (2) assess compliance with disclosure obligations under the federal securities laws; (3) engage with public companies on climate-related… [read post]
12 Apr 2018, 7:42 pm
Enforcement Risks Merit Heightened Restaurant Compliance Confirming and maintaining appropriate wage and hour compliance and risk management is particularly imperative because of the WHD’s ongoing targeted enforcement efforts against industry employers. [read post]
