Search for: "The Regulatory Review Staff"
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18 Mar 2012, 12:42 pm
Fund managers might also consider disclosure of a total expense ratio (TER) or gross vs. net return for the period under review. [read post]
22 May 2023, 9:05 pm
In addition, it’s hard to attract and retain talented staff to implement these cooperative agreements when there is so much uncertainty. [read post]
ABA identifies various industry concerns in fair lending white paper submitted to Treasury Secretary
13 Jun 2017, 7:42 am
” We will be reviewing this report, and the subsequent reports that the Treasury Department press releases indicates will be issued “over the coming months. [read post]
13 Dec 2019, 12:57 pm
Lummi Indian Business Council Staff Attorney III, Bellingham, WA. [read post]
21 Apr 2025, 2:32 pm
Jeremy Korst wrote in Harvard Business Review, “A couple of years ago, we seemed to be hurtling toward an electric-car future. [read post]
12 Jun 2023, 12:57 pm
To me, the rise in the ability of law firms, financial entities, regulators and others to engage in ever more complex disputes, transactions, investigations and regulatory efforts has led – directly or indirectly – to the urge to engage in ever more complex disputes, transactions, investigations and regulatory efforts. [read post]
6 Jul 2009, 6:59 am
Few MOE staff have expertise or experience in these broader areas. [read post]
10 Jun 2015, 4:00 am
Doing so seems logistically feasible and there is a good regulatory rationale for doing so given the law societies’ public interest mandate. [read post]
29 Feb 2016, 4:43 pm
Issuers should pay close attention to any statements that may qualify as opinions and carefully review the “hedges, disclaimers or qualifications” tied to those opinions. [read post]
13 Feb 2024, 1:33 am
And that if you’re filling up a document and you want to go back and review it you can’t. [read post]
6 Aug 2021, 7:40 am
Northern Arapaho Tribe Staff Attorney, Lander, WY. [read post]
10 Apr 2010, 2:55 am
• Researching and publishing work of the highest in peer-reviewed journals, as monographs or in other respected forms of output. [read post]
2 Sep 2024, 7:27 am
This integration significantly reduces human error and enhances review accuracy compared to traditional AI methods like Technology-Assisted Review (TAR) and linear review. [read post]
18 Sep 2009, 11:53 pm
According to Kamal Shah, vice president of product management and marketing for Clearwell, when a regulatory inquiry or internal investigation is triggered, generally there are multiple sources from which to pull data. [read post]
8 Jul 2008, 8:20 pm
A member who doesn't have confidence in a credit union's member service staff may not trust other departments to handle their additional financial needs. [read post]
12 May 2010, 2:26 am
As part of these reviews, DCIO staff has communicated to NFA its expectations as to the type and breadth of information that must be disclosed regarding the background of CTAs, CPOs, and relevant individuals. [read post]
10 Apr 2019, 7:08 am
During Stage One of the determination process, the FSOC will provide notice to the nonbank financial company that it is under SIFI review, and intends for FSOC staff to meet with the nonbank financial company to discuss the key risks that had been identified thus far. [read post]
5 Apr 2010, 1:48 pm
In Re Election Law Enforcement Comm’n, __ N.J. __ (2010) (use of campaign funds not proper to defend indictment for crime), and even if Robert Wood Johnson or its staff was not deceived or mislead, we can take notice that pain assessment reports can be reviewed to evaluate regulatory compliance and insurance recoveries. [read post]
7 Dec 2020, 9:38 am
Customers often retain consultants for these pricing reviews. [read post]
3 Feb 2016, 7:27 am
The sanctions surrounded claims that Wedbush created and produced to FINRA staff falsified and misleading documents, in connection with the staff’s review of the firm’s reporting of municipal securities transactions. [read post]
