Search for: "DIVISION OF RISK MANAGEMENT"
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6 Feb 2015, 7:58 am
The SEC’s Examination Priorities With Respect to Market Risk To promote fair, orderly and efficient markets, the OCIE announced that its 2015 examinations will focus on four initiatives designed to address systemic risks: Large Firms: The OCIE will collaborate with the Division of Trading and Markets and the Division of Investment Management to monitor U.S. broker-dealers to assess risk and maintain early awareness of any events that… [read post]
25 Feb 2020, 2:32 pm
Office of Risk and Strategy: Provision of guidance on developing risks and evolving disclosures, such as LIBOR transition and cyber-security matters. [read post]
16 Sep 2011, 1:40 am
Risk Financial Services. [read post]
14 Apr 2021, 3:03 am
It’s kind of a fun concept, although I was disappointed that I didn’t have a 12-digit control number to test it… Division of Examinations Observes Instances of ESG Proxy Voting Inconsistencies Last week, the SEC’s Division of Examinations issued a risk alert with observations from its review of investment advisers, investment companies and funds that offer ESG investment products and services. [read post]
8 Apr 2010, 7:38 am
The portfolio manager cited by the SEC is James C. [read post]
24 Sep 2010, 6:18 am
Discovery revenue combined with the consistent revenue of its facilities management services division have helped the company achieve profitability in 35 consecutive quarters. [read post]
27 Jul 2008, 12:24 am
Bureau of Reclamation, Sacramento River Division. [read post]
16 Apr 2014, 7:38 am
But it does mean that employers must view a Cal/OSHA citation with their eyes wide open and attuned to the longer-term risks. [read post]
21 Jun 2024, 2:36 pm
Department of Labor’s Wage and Hour Division (WHD) took action against a Florida pizzeria for FLSA violations. [read post]
23 Jun 2016, 1:23 am
If your top management are crooks, in the case of all the former Enron senior managers who are now convicted felons, that speaks to the tone management creates. [read post]
23 Jun 2016, 1:23 am
If your top management are crooks, in the case of all the former Enron senior managers who are now convicted felons, that speaks to the tone management creates. [read post]
1 Jul 2016, 12:23 pm
Stamer’s legal and management consulting work throughout her nearly 30-year career has focused on helping organizations and their management use the law and process to manage people, process, compliance, operations and risk. [read post]
25 Oct 2023, 9:01 pm
In contrast, the OIG Report was a more independent review with more time to weigh the evidence and reflect on the root causes of the deficiencies in risk management and supervision. [read post]
20 Feb 2014, 6:30 am
©2014 Amaxx Risk Solutions, Inc. [read post]
9 Jan 2015, 6:20 am
He resides in the Boston area and works as a Qualified Loss Management Program provider working with high experience modification factor companies in the Massachusetts State Risk Pool. [read post]
16 Nov 2016, 5:49 am
This post examines an opinion from the Court of Appeals of Washington – Division 1: State v. [read post]
4 Jun 2013, 9:21 am
©2013 Amaxx Risk Solutions, Inc. [read post]
11 Feb 2015, 6:30 am
He resides in the Boston area and works as a Qualified Loss Management Program provider working with high experience modification factor companies in the Massachusetts State Risk Pool. [read post]
6 Feb 2023, 9:02 pm
Strengths in North Macedonia are the capacity to conduct risk assessments and risk communication. [read post]
14 Feb 2012, 7:30 am
You can also learn more about environmental risk factors and steps to decrease exposure and risk in educational materials prepared by EPA. [read post]
