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9 Jul 2009, 8:19 am
Personal Trading by Advisory Staffâ€â [read post]
9 Nov 2014, 4:33 pm
According to the Southern Weekend reporters, four of the tribunals, which review cases based on geography and subject matter, have about 70 staff (both judges and support staff), while one has about 50 staff and reviews cases only on a subject matter basis. [read post]
12 Feb 2009, 12:23 am
The staff of the World Bank Group recently released its annual Doing Business report, which provides an interesting review of the differing conditions and trends found in the various Latin American economies.Among Latin American nations, Colombia and the Dominican Republic were ranked among the report’s top 10 reformers in 2007/2008. [read post]
11 Jul 2013, 1:29 pm
Stakeholders most often identified NRC staff's technical knowledge and the thoroughness of the agency's reviews as perceived strengths of the process. [read post]
27 Jun 2014, 6:00 am
Some of you that work for or represent a company that we oversee know our staff in our National Exam Program, and I imagine a few of your companies know something about our Enforcement Division staff. [read post]
6 Jun 2023, 9:05 pm
Some agencies almost exclusively use what I have called periodic guidance documents, such as staff directives, memoranda from agency leadership to enforcement staff, and related guidance. [read post]
16 Mar 2017, 2:21 pm
” Unlike the regulatory freeze memo issued on Inauguration Day by Reince Priebus, the President’s Chief of Staff, the so-called “two for one” executive order on reducing regulation and controlling costs, and the executive order to enforce compliance with the regulatory reform agenda, the new order, on its face, does appear to apply to independent regulatory agencies including the CFPB. [read post]
30 Apr 2021, 9:03 pm
first appeared on The Regulatory Review. [read post]
16 Dec 2015, 5:43 am
Traditional sources are still the most common, he said, such as restatements, self-reporting, whistleblowers, and internal and external regulatory referrals. [read post]
31 Dec 2021, 2:17 pm
California employers face these COVID-19 issues in addition to the normal heavy regulatory and ever changing framework facing them. [read post]
30 Sep 2016, 5:36 am
Today's BrokeAndBroker.com Blog time travels from a September 2016 FINRA regulatory settlement back in time to a 2001 customer complaint. [read post]
23 Jan 2015, 4:56 am
Some will find good cause in what was, at best, questionable conduct -- and others may simply roll their eyes and wonder if this Good Samaritan was the victim of over-zealous compliance and regulatory staffs. [read post]
17 May 2019, 9:41 am
Spoiler Alert: The odds are 2:1 that you won't guess the twist in this story until you come upon it.GUEST BLOG: FINRA Chokes on a Smoking Ear by Aegis Frumento Esq (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4604/aegis-frumento-morton/Regulatory staff often overplay their hands. [read post]
13 Dec 2011, 1:32 pm
Representative Markey indicated in a release that, "The Near-Term Task Force members comprise more than 135 years of collective experience at the NRC, and with full access to expert NRC staff completed a methodical and comprehensive review of NRC's regulatory system. [read post]
28 Dec 2010, 8:12 pm
If you have an Australian Financial Services Licence or an Australian Credit Licence minimum annual training for staff is a mandatory licence condfition. [read post]
12 Dec 2022, 9:05 pm
Further research will be necessary to explore the exact nature of these relationships.The post Building Independent and Accountable Regulators first appeared on The Regulatory Review. [read post]
14 Apr 2023, 9:05 pm
The post Bettering Behavioral Health first appeared on The Regulatory Review. [read post]
29 Nov 2012, 12:35 pm
Type of Filing Principal Form / Source of Disclosure Requirement Current Issues / Guidance Financial Statements NI 51-102 Continuous Disclosure Obligations for financial years beginning before January 1, 2011 (pre-IFRS) NI 51-102 Continuous Disclosure Obligations for financial years beginning on or after January 1, 2011 (IFRS) … [read post]
9 Jul 2019, 2:10 pm
“I look forward to reviewing public comments in response to the Commissions’ proposal. [read post]
21 Jun 2021, 9:08 pm
Bringing these connections to the fore, so as to foster deeper democratic engagement at FERC, should be a central goal of the OPP.The post A Long-Awaited Participatory Revolution in Energy Regulation first appeared on The Regulatory Review. [read post]
