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19 Aug 2013, 6:28 am
References: Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning Business Continuity and Disaster Recovery Planning Advisory [read post]
19 Aug 2013, 6:28 am
References: Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning Business Continuity and Disaster Recovery Planning Advisory [read post]
7 Sep 2010, 11:05 am
On August 31, the Investment Industry Regulatory Organization of Canada (IIROC) released findings and recommendations deriving from its 2009 compliance review of principal protected notes (PPNs). [read post]
5 Apr 2024, 9:26 am
[1] NAIC Staff Report: Life Insurance Artificial Intelligence/Machine Learning Survey Results. [2] NAIC Model Bulletin: Use of Artificial Intelligence Systems by Insurers. [read post]
28 Jul 2021, 1:08 pm
While the regulatory deadlines in August may be a bit lighter than other months, there are still several important regulatory dates to keep track of, some of which are detailed below. [read post]
19 Sep 2012, 9:15 am
The Investment Industry Regulatory Organization of Canada (IIROC) released a concept paper this week to solicit comments to assist staff in its review and assessment of whether portfolio-based margining could provide a feasible alternative to current margin requirements for determining dealers' regulatory capital levels and margin lending limits for certain sophisticated clients. [read post]
23 Jul 2010, 11:50 am
The Canadian Securities Administrators (CSA) today released CSA Staff Notice 52-326 IFRS Transition Disclosure Review, which provides an assessment of IFRS transition disclosure made by issuers in 2009 annual MD&A. [read post]
14 Dec 2007, 7:20 am
At the last moment -- at what should have been a relatively perfunctory review and approval of the hearing record, tweaks and revisions to the regs, and recommendations of the Department's staff -- the state's Public Health Council (this Wednesday) tabled the regs, largely due (apparently) to a bunch of the same concerns that have been voiced all along. [read post]
8 Jan 2023, 9:05 pm
This divergence is observed in speed of review, stringency and depth of analysis, and the steps needed to have staff and front office reach a decision. 60 percent of respondents state that the DOJ has addressed traditional non-price effects over the past two years. [read post]
20 Feb 2012, 3:23 pm
That is about to change because under the SBREFA process, small business representatives will review and comment on an actual draft of the I2P2 regulatory text that OSHA would intend to publish as a proposed rule. [read post]
13 Aug 2023, 9:05 pm
Good regulatory practice requires no less.The post Trauma-Informed Regulation first appeared on The Regulatory Review. [read post]
6 Jul 2011, 10:30 am
The Canadian Securities Administrators released a staff notice yesterday summarizing findings from a focused compliance review of the marketing practices of firms registered as portfolio managers. [read post]
8 Nov 2019, 4:30 am
The Executive Ombuds position 1) acts as facilitator for the fair and timely resolution of complaints related to the System’s regulatory activities; 2) receives, reviews, and decides claims of retaliatory conduct by System staff; and 3) reports to Board members and senior Board staff on issues that may have a significant impact on the System’s mission, activities, or reputation, including patterns of issues that occur in multiple complaints. [read post]
7 Sep 2017, 9:30 pm
WHAT WE’RE READING THIS WEEK In a forthcoming paper for the George Washington Law Review, Kristin E. [read post]
19 Jun 2017, 9:40 pm
As he notes, the Commission staff does compile a list that includes every regulatory initiative undertaken at CPSC—including many initiatives that CPSC likely will not address for many years. [read post]
6 Feb 2017, 3:26 am
The Staff confirmed that rights offers under the new regs could be registered on a Form F-7. [read post]
21 Jan 2016, 9:45 pm
WHAT WE’RE READING THIS WEEK The International Monetary Fund (IMF) published a Staff Discussion Note evaluating current regulations of virtual currencies, such as bitcoin. [read post]
27 Nov 2023, 5:44 am
By Kathleen Bianco, J.D.On Oct. 31, 2023, the Government Accountability Office (GAO) issued a decision finding that the Securities and Exchange Commission’s Staff Accounting Bulletin 121 (SAB 121), published on April 11, 2022, is a “rule” for purposes of the Congressional Review Act. [read post]
2 Oct 2013, 8:12 am
While regulatory self-review processes have been utilized for years with varying degrees of success, they noted, retrospective reviews often fall short in two ways: 1) internal pressures, from limited staff to extensive bureaucracy, limit the ability of individual agencies to effectively trim their regulations, and 2) the existing retrospective review processes tend to look at individual regulations in isolation, rather than considering the cumulative… [read post]
21 Dec 2022, 9:06 pm
Investing in adjudicatory capacity might allow immigration judges to devote greater attention to life-or-death cases deserve, according to Bednar.The post The Adjudicatory Capacity to Make Decisions first appeared on The Regulatory Review. [read post]
