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21 Jan 2021, 11:26 am
Yesterday, January 20, 2021, White House Chief of Staff Ron Klain issued a memorandum regarding review of pending regulatory actions which directs, in part, that (1) all rules pending at the Federal Register that have not been published must be immediately withdrawn, and (2) agencies must “consider” postponing the effective dates for regulations that have been published, but not yet taken effect, for 60 days from the date of this memorandum. [read post]
11 Nov 2009, 8:18 pm
They rely on us to handle all of the legal and regulatory details so that they can focus on the business. [read post]
15 Dec 2021, 9:23 am
Disclosures, marketing practices, and gatekeeper obligations are seen as areas of concern.Wolters Kluwer Senior Legal Analysts Lene Powell and Mark Nelson review regulatory, legislative, and enforcement developments, including an in-depth look at SEC comment dialogues about certain SPACs that later became embroiled in litigation. [read post]
18 Jun 2018, 9:30 pm
This time, he cobbled together a proposed rule that would drastically change how science is considered during the regulatory process. [read post]
16 May 2011, 2:10 am
These costs include expenses associated with the bank’s own staff, any outside consultants engaged, and non-staff resources such as computer time, costs for the bank examiners themselves plus their travel expenses in some cases. [read post]
2 Jul 2020, 9:07 pm
And The Regulatory Review has always had a global presence. [read post]
11 Nov 2011, 6:00 am
CERO staff will provide electronic copies of requested files. [read post]
26 Jul 2015, 9:30 pm
Understanding consumers is a good backdrop to a critical regulatory skill, namely choosing the right regulatory tool and understanding which one to use when and with whom. [read post]
6 Mar 2014, 10:54 am
The CFTC’s Division of Swap Dealer and Intermediary Oversight, which issued Staff Advisory 14-21, will “enhance its audit and review standards as it continues to focus more resources on GLBA Title V compliance. [read post]
13 Mar 2019, 9:50 am
To the extent that advisers permit staff to use social media, personal email accounts, or personal websites for business purposes, the ability to adopt and implement policies and procedures for monitoring, reviewing, and retaining such electronic communications. [read post]
4 Apr 2014, 11:07 am
Over the next few weeks we will be going back to data privacy basics in our eight part “Europe under Review” blog series. [read post]
7 Dec 2017, 8:45 am
In addition, FINRA staff has been working with the North American Securities Administrators Association (NASAA) on various expungement issues, including potential amendments to the existing regulatory review process.The text of the proposed amendments can be found at www.finra.org/notices/17-42. [read post]
31 Aug 2023, 4:51 am
The company specializes in a range of services, including attorney engagements, secondment, staff augmentation, managed review, project management, legal operations, contract management, and regulatory compliance. [read post]
29 Jun 2023, 12:00 pm
*This post is part of a symposium on Modernizing Regulatory Review. [read post]
20 Aug 2009, 1:22 am
" The Staff is in the process of reviewing how the work of Corp Fin is being done and whether any improvements can be made, including in the area of maintaining and expanding transparency. [read post]
23 Jan 2018, 4:50 am
In order to avoid future controversies around the lack of public or stakeholder input, Chairman Giancarlo has asked CFTC staff to add an additional element to its review checklist. [read post]
9 Jun 2009, 2:23 pm
We look forward to further reviewing our proposal with Committee members and staff and working with you in this important endeavor. [read post]
28 Mar 2022, 12:31 pm
About 70 percent of the chairs with whom the PCAOB staff spoke said that they review PCAOB inspection reports independently and/or discuss them with their auditors.Committee chairs said they use the inspection reports to check for warning signs and to understand the number or nature of findings, trends in findings over the years, and how the firm responds to the report. [read post]
23 Aug 2022, 2:15 pm
For Compliance and Legal staff, that means having to manually search and review petabytes of messages or files from regulatory compliance, supervisory, or investigation review queues,” said Kevin Leusing, senior vice president and general manager, Compliance at Proofpoint. [read post]
3 Nov 2011, 11:43 am
The Securities and Exchange Commission announced that it has ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant to evaluate and recommend improvements to FINRA's compliance policies, procedures and staff training regarding the integrity of documents produced to the SEC. [read post]
