Search for: "The Regulatory Review Staff"
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12 Mar 2021, 9:57 am
In so doing, compliance officers and internal audit staff, individuals who are uniquely positioned to detect money laundering violations within their organizations, are invited to step forward and submit a tip to the Treasury Department. [read post]
12 Jul 2012, 6:23 am
A review of their current employment agreements and the firm’s past actions in similar instances can go a long way in crafting a mutual agreement between the brokers and the firm and avoid a protracted legal dispute. [read post]
14 Aug 2014, 4:09 pm
The SEC regulates who is required to register as a broker-dealer and FINRA regulates those who are registered as broker-dealers Before discussing exemptions from registration, here is a brief explanation of the basic regulatory framework for U.S. broker-dealers. [read post]
13 May 2015, 9:11 pm
”[v] The Cloud Security report notes that the top concerns are: General security concerns over the storage of data in the cloud; Data loss and leakage risks; Loss of control over security procedures applied day to day over the company’s data; and Lack of visibility to assure regulatory compliance. [read post]
26 Jan 2023, 9:05 pm
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]
12 Jan 2017, 6:00 am
The Task Force was given a mandate to consult and provide advice to the Government of Canada on the design of a new legislative and regulatory framework for legal access to cannabis, consistent with the Government’s commitment to “legalize, regulate, and restrict access”. [read post]
12 Jul 2012, 6:23 am
A review of their current employment agreements and the firm’s past actions in similar instances can go a long way in crafting a mutual agreement between the brokers and the firm and avoid a protracted legal dispute. [read post]
6 Nov 2023, 7:39 am
The EO directs Independent Regulatory Age [read post]
3 Dec 2021, 3:00 am
Former White House Chief of Staff Mark Meadows Cooperating with Jan. 6 Committee MSN – Mariana Alfaro (Washington Post) | Published: 11/30/2021 Mark Meadows, former President Trump’s chief of staff at the time of the January 6 attack on the Capitol, is cooperating with the House committee investigating the insurrection. [read post]
18 Mar 2022, 4:00 am
Already several ex-Trump lawyers have found themselves subject to state bar reviews. [read post]
7 Nov 2024, 9:01 pm
As is customary, my remarks today are in my official capacity as Acting Director of the Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
21 Feb 2024, 9:00 am
Mott, that the President had broad discretion in determining when to use these statutes in calling forth the militia, and that his determination was not subject to judicial review. [read post]
12 Feb 2021, 3:00 am
What if, they worry, new security measures keep them at a distance from the lawmakers and staff they aim to influence, long after the pandemic ends? [read post]
18 Nov 2022, 3:00 am
Trump Wanted IRS Investigations of Foes, Top Aide Says Yahoo News – Michael Schmidt (New York Times) | Published: 11/14/2022 While in office, former President Trump repeatedly told John Kelly, his White House chief of staff, that he wanted a number of his perceived political enemies to be investigated by the IRS, Kelly said. [read post]
2 Apr 2020, 8:10 am
This argument was not raised at trial and was reviewed for plain error only. [read post]
14 Nov 2016, 2:12 am
The experts are not UN staff and are independent from any government or organization. [read post]
12 May 2009, 12:20 pm
In September 2008, after review and analysis of the extensive hearing record, the Department of Justice issued its report, entitled "Competition and Monopoly: Single-Firm Conduct Under Section 2 of the Sherman Act. [read post]
20 Mar 2025, 6:51 pm
The normal appellate review process exists for that purpose. [read post]
27 Oct 2017, 8:00 am
Bourbon is a former head of the financial regulatory authority on the island who later joined Premier and created funds like NERR (the one SBC planned to use to build Easter Langlee) and Eco Resources Fund (ERF) – also bankrupt - which persuaded investors to invest in bamboo plantations in Nicaragua and South Africa. [read post]
8 Mar 2024, 3:00 am
It has been decades since there have been major legislative or regulatory updates to the law, which imposed registration and reporting requirements for individuals and entities seeking to sway U.S. policy or the public on matters of foreign interests. [read post]
