Search for: "The Regulatory Review Staff"
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4 Dec 2024, 6:25 am
It is both 'comforting and challenging,' as another reviewer noted. [read post]
20 Jan 2011, 7:14 am
" This report, required by the Dodd-Frank Act, called for the SEC to review its examination program for investment advisers and to report back to Congress with recommendations for enhancing the examination program. [read post]
30 Jan 2023, 7:13 am
Cost savings: Using contract reviewer staffing can also help law firms and corporations save costs by avoiding the need to hire additional full-time staff or to pay for expensive technology or software. [read post]
14 Jun 2016, 6:00 am
The SEC staff recently conducted its first review and issued a Report on the Review of the Definition of “Accredited Investor. [read post]
27 Aug 2015, 9:30 pm
The Federal Trade Commission (FTC) issued a staff comment advising the U.S. [read post]
4 Jan 2011, 10:31 am
The authorities will also ensure a common regulatory culture and consistent practices. [read post]
24 Apr 2019, 9:10 pm
The review process also allows Presidents and their staff members to better understand the consequences of the regulatory decisions being made by executive agencies. [read post]
30 Apr 2018, 8:42 am
And the agency should not be able to transmogrify the mantle of "staff advice" into both a sharp regulatory sword and a shield from judicial review. [read post]
4 Aug 2024, 4:02 am
Industry News – Artificial Intelligence Beat EU AI Act: Regulatory Milestone and Its Impact on Legal Tech ComplexDiscovery Staff The adoption of the Artificial Intelligence (AI) Act by the European Union (EU) marks a significant milestone in regulatory efforts to oversee AI technologies. [read post]
5 Oct 2022, 6:15 am
FIA submitted the comment letter in response to the CFTC’s review of a pending proposal by KalshiEx to list political event contracts.KalshiEx proposal to list contracts. [read post]
6 Oct 2016, 9:30 pm
” Hoffman, a former chief of staff and senior legal advisor to FCC Commissioner Mignon Clyburn, argued that the FCC has not been transparent about the development of the proposal, and urged Chairman Wheeler to use the delay as an opportunity to release the current draft of the proposal for public review. [read post]
12 May 2020, 4:53 pm
In conjunction with the Locke Lord COVID-19 task force, we are reviewing, analyzing, and compiling regulatory updates to provide clients easy access to information during this unprecedented time. [read post]
6 Aug 2021, 7:16 am
By Lene Powell, J.D.Following SEC Chair Gary Gensler’s announcement that staff is preparing potential revisions to whistleblower rules adopted last year, the Commission announced new interim procedures for reviewing whistleblower applications. [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]
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]
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]
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]
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]
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]
