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27 Jan 2023, 12:59 pm by Zamansky LLC
On January 23, 2023, Paulson Investment Company, LLC (Paulson) agreed to a censure, a fine of $150,000 and to make restitution to 60 customers in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. [read post]
27 Jan 2023, 9:49 am by Rob Robinson
The steady advance of these laws all around the world has a material impact on how counsel handles litigation or regulatory discovery in international cases. [read post]
Organizations cannot prevent all attacks from happening, but they can redouble their efforts around regulatory compliance, preparedness, and incident response planning. [read post]
26 Jan 2023, 9:05 pm by renholding
Whether the disclosure of insider trading plans and related policies was high on investors’ priorities is debatable – investors have successfully advocated for disclosure in other governance areas, including board and employee diversity and cybersecurity and board oversight; however, the SEC clearly believes that insider trading plans are a focus for investors’ review. [read post]
26 Jan 2023, 9:03 pm by Riann Winget
The post Week in Review first appeared on The Regulatory Review. [read post]
26 Jan 2023, 2:29 pm by Brandon Bigelow and Laura Caro Ruiz
With state privacy laws and potential FTC rulemaking threatening to impose an increasingly heavy regulatory burden on businesses, Congress may have no choice but to act in 2023. [read post]
26 Jan 2023, 2:15 pm by Katelynn Catalano
Nevertheless, the new rule brings ERISA into closer alignment with the Biden Administration’s goal of allowing workers to use their retirement investments to promote public health, protect the environment, and address the climate crisis.The post Changes to ERISA Open Door to ESG Investments first appeared on The Regulatory Review. [read post]
26 Jan 2023, 12:55 pm by Parr Richey Frandsen Patterson Kruse LLP
He often advises businesses and utilities (for profit, non-profit and cooperative) on organizational, human resources, and transactional matters and drafts and reviews commercial contracts. [read post]
26 Jan 2023, 7:18 am by Christopher J. Walker
On Thursday, February 8, 2023, there’s a terrific law review symposium in Washington, DC, on democratic accountability in the administrative state. [read post]
26 Jan 2023, 4:00 am by Guest Author
Third, there could be much more here on systems of power and how they operate through the regulatory state. [read post]
25 Jan 2023, 9:05 pm by Zoe Stern
But the Trump rules have now been repealed by the Labor Department’s new regulatory action. [read post]
25 Jan 2023, 9:05 pm by renholding
The panel majority first agreed that when the prosecution confesses error and abandons its victory at trial, it is entitled to great deference from a reviewing court. [read post]
25 Jan 2023, 1:33 pm by Jonan Pilet
A Record of Prevention Importantly, while regulatory activities matter, they’re not what matters most. [read post]
25 Jan 2023, 1:03 pm by Zamansky LLC
On December 1, 2022, a Financial Industry Regulatory Authority (FINRA lawsuit) arbitration panel awarded a customer of Morgan Stanley $11.5 million in damages for losses suffered in a call writing option strategy. [read post]
25 Jan 2023, 11:06 am by Bill Marler
A Record of Prevention Importantly, while regulatory activities matter, they’re not what matters most. [read post]
25 Jan 2023, 9:32 am by Victoria Pridmore
The FCA will not review and comment on draft documents as part of its application assessment Do you meet the standards for registration? [read post]
25 Jan 2023, 4:07 am by Simon Lovegrove (UK)
Key points in the speech include: Last month the FCA published a multi-firm review on diversity and inclusion. [read post]