Search for: "DIVISION OF RISK MANAGEMENT"
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24 Jan 2024, 9:03 pm
I’d like to thank the members of the SEC staff for their work on these final rules, including: Erik Gerding, Mellissa Duru, Betsy Murphy, Luna Bloom, Mark Saltzburg, Dennis Hermreck, Ted Yu, Tiffany Posil, Dan Duchovny, Shane Callaghan, Adam Turk, Kasey Levit, Lisa McCann, Lindsay McCord, Craig Olinger, Melissa Rocha, Ryan Milne, Cicely LaMothe, Jessica Kane, Mary Beth Breslin, Pamela Long, Asia Timmons-Pierce, Robert Errett, Sean Harrison, Jennifer Lopez Molina, Deegi Biteng, Michael Coco,… [read post]
24 Jan 2024, 9:03 pm
Not all establishments under the remit and supervision of the DAFM division were risk-assessed in 2021, and eight controls were missed. [read post]
24 Jan 2024, 9:01 pm
However, I thank the staff of the Division of Corporation Finance, the Division of Investment Management, the Division of Economic and Risk Analysis, and the Office of the General Counsel for their work on this rulemaking. [read post]
23 Jan 2024, 6:13 am
Thus, any concurrent representation would risk harm only to the company or Rodriguez and his daughter. [read post]
22 Jan 2024, 8:24 pm
Where Premier Qiang focused trust on a vanguard; where von der Leyen focused on the process of risk guided by a techno-bureaucracy, President Milei focuses on production undertaken by capitalists in marets substantially free of the state and its vanguards. 1. [read post]
19 Jan 2024, 5:55 am
Key Takeaways Financial disclosure in divorce is necessary to ensure an equitable division of assets and debts. [read post]
18 Jan 2024, 2:24 pm
The lack of trust is aggravating risks to global growth and peaceful development. [read post]
18 Jan 2024, 9:33 am
Corey Schuster, Co-Chief of the Enforcement Division’s Asset Management Unit, echoed this strong SEC sentiment: “Investors, whether retail or otherwise, must be free to report complaints to the SEC without any interference,” and in drafting confidentiality agreements, companies “need to ensure that they do not include provisions that impede potential whistleblowers. [read post]
16 Jan 2024, 2:47 pm
” “Investors, whether retail or otherwise, must be free to report complaints to the SEC without any interference,” said Corey Schuster, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
16 Jan 2024, 7:20 am
” “Investors, whether retail or otherwise, must be free to report complaints to the SEC without any interference,” said Corey Schuster, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
16 Jan 2024, 7:17 am
” “Investors, whether retail or otherwise, must be free to report complaints to the SEC without any interference,” said Corey Schuster, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
14 Jan 2024, 8:10 am
Long story short, defendant managed to get a RFA order issued against him. [read post]
13 Jan 2024, 7:28 pm
The riparian area element should address the preservation and enhancement of natural streams; management of erosion, sedimentation, and flood control; removal of dead or diseased vegetation to minimize flood and fire risk; reduction of water pollution; protection of fish and wildlife; preservation or restoration of vegetation; management of invasive plant species and weeds; and preservation of aesthetic and recreation values. [read post]
9 Jan 2024, 9:01 pm
The SEC has adopted a similar approach in its proposed climate rules, which require disclosures on how the board oversees climate-related risks as part of its business strategy, risk management and financial oversight. [read post]
8 Jan 2024, 10:00 am
Management at all five sampled developments misspent funds, and management at two of the sampled developments failed to provide a safe and clean living environment for their residents, where auditors observed hazardous conditions. [read post]
8 Jan 2024, 10:00 am
Management at all five sampled developments misspent funds, and management at two of the sampled developments failed to provide a safe and clean living environment for their residents, where auditors observed hazardous conditions. [read post]
8 Jan 2024, 5:00 am
The combined risk of this sport’s violence and its growing popularity necessitated governance. [read post]
7 Jan 2024, 9:01 pm
” (See “Exits, Ring-Fencing and Other Risk Management Strategies for Multinationals Operating in Geopolitically Volatile Areas. [read post]
4 Jan 2024, 3:02 am
Conflict implies division, animosity, alienation, and opposition. [read post]
2 Jan 2024, 12:56 pm
The Number of Federal Court Securities Class Action Lawsuit Filings Increased in 2023 Securities class action lawsuits represent the most significant severity risk for public company D&O insurers. [read post]
