Search for: "DIVISION OF RISK MANAGEMENT"
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3 Aug 2017, 8:08 am
Grim, Director of the Division of Investment Management, will leave the agency next month after more than 20 years of public service. [read post]
17 Sep 2009, 7:22 am
The SEC now has five divisions: Division of Corporation Finance Division of Enforcement Division of Investment Management Division of Trading and Markets Division of Risk, Strategy, and Financial Innovation According to Broc Romaneck, this is the first new division at the SEC since 1971. [read post]
20 Jul 2022, 4:33 am
The post [Educational Webcast] Data Mining in Incident Response: Managing Risk and Spend through An Effective Evidence-Based Approach appeared first on ComplexDiscovery. [read post]
3 Aug 2017, 4:00 am
Tristar Risk Management, ___ Cal.App.5th ___ (Jun. 26, 2017; pub. ord. [read post]
16 Oct 2018, 3:55 pm
Stamer’s legal and management consulting work throughout her career has focused on helping organizations and their management use the law and process to manage people, process, compliance, operations and risk. [read post]
5 Jul 2023, 4:59 am
But a proven executive — not an attorney — should have final say in managing legal risk. [read post]
23 Mar 2022, 6:07 am
Broker-dealer Purshe Kaplan Sterling Investments was charged by the Massachusetts Securities Division with selling “unsuitable investments to investors while operating as independent investment advisers of Harvest Group Wealth Management,” according to thediwire.com. [read post]
16 Dec 2011, 9:58 am
InfoLawGroup attorneys recently joined risk management professionals from the ACE USA, the U.S. [read post]
24 Jul 2014, 6:20 am
I commend the hard work of the staff, particularly the Division of Investment Management and the Division of Economic and Risk Analysis (“DERA”), who worked tirelessly to present these thoughtful and deliberate amendments. [read post]
22 Jan 2018, 2:15 pm
On January 18, 2018, in a letter to the Investment Company Institute and SIFMA, Dalia Blass, Director of the SEC’s Division of Investment Management, warned market participants against the risks of creating and marketing investment products to retail investors that hold “substantial amounts” in “cryptocurrencies and related products. [read post]
17 Dec 2009, 6:33 am
What exactly is the proper role of the board in corporate risk management? [read post]
21 Nov 2011, 11:12 am
"The six witnesses who testified were: • Robert Khuzami, Director, Division of Enforcement; • Meredith Cross, Director, Division of Corporation Finance; • Robert Cook, Director, Division of Trading and Markets; • Carlo di Florio, Director, Office of Compliance Inspections and Examinations; • Eileen Rominger, Director, Division of Investment Management; and • Craig Lewis, Chief Economist and Director, Division of… [read post]
11 May 2022, 6:37 am
With respect to the Division’s 2022 priorities, the Division notes that “there is a risk that [ESG-related] disclosures regarding portfolio management practices could involve materially false and misleading statements or omissions, which can result in misinformed investors. [read post]
11 May 2022, 6:37 am
With respect to the Division’s 2022 priorities, the Division notes that “there is a risk that [ESG-related] disclosures regarding portfolio management practices could involve materially false and misleading statements or omissions, which can result in misinformed investors. [read post]
18 Nov 2020, 8:11 am
Should attorneys be permitted to espouse their individual political beliefs on social media, especially during divisive times? [read post]
12 Jun 2023, 6:29 am
On May 30, 2023, the Commodity Futures Trading Commission Division of Clearing and Risk (DCR) issued a staff advisory (CFTC Letter No. 23-07) on the risks associated with the Derivatives Clearing Organization (DCO) clearing of digital assets. [read post]
9 Mar 2010, 5:59 am
The Massachusetts Division of Insurance recently allowed managed competition as a way to allow auto insurer companies to compete for good drivers, giving consumer more choices than ever before. [read post]
4 Nov 2009, 6:04 am
-Oversees the administration and human resources management of the Division, including the preparation and management of the resources from the regular budget and extra-budgetary sources, PAS procedures and vacancy management. [read post]
4 Feb 2011, 7:42 am
David Ruder asked the panel how the Division will manage massive “data dumps. [read post]
3 Mar 2021, 7:58 am
The Division will always been focused on the disclosure of fees and conflicts for private fund managers. [read post]
