Search for: "The Regulatory Review Staff"
Results 381 - 400
of 4,081
Sorted by Relevance
|
Sort by Date
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]
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]
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]
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]
29 Jun 2023, 12:00 pm
*This post is part of a symposium on Modernizing Regulatory Review. [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]
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]
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]
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]
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]
26 Sep 2024, 10:02 am
Industry News – eDiscovery Beat Enhancing eDiscovery Workflows: HaystackID Integrates Relativity aiR for Review ComplexDiscovery Staff As the amount of electronically stored information (ESI) grows, legal teams are facing increasingly complex challenges in managing large volumes of data during litigation and regulatory processes. [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]
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]
30 Apr 2021, 9:03 pm
first appeared on The Regulatory Review. [read post]
