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26 Sep 2021, 7:46 am by Kevin LaCroix
The letters review the incentives that the typical SPAC creation process creates for its sponsors to complete a deal, any deal, quickly; to take advantage of supposed gaps in the regulatory structure to make “overly optimistic” statements about the target company and its prospects; and to try to persuade investors to approve a proposed transaction. [read post]
Moreover, the guidance explains the regulatory and supervisory compliances for companies that use social media. [read post]
24 Sep 2021, 9:03 pm by Margaret Sturtevant
The post Regulating Cyber Charter Schools first appeared on The Regulatory Review. [read post]
24 Sep 2021, 8:50 pm by Simon Lovegrove (UK)
He mentions that there are a number of priorities for the PRA to focus on including updating the PRA’s operating model to reflect changes to its role after Brexit, responding to climate change and reviewing the regulatory requirements for insurers. [read post]
24 Sep 2021, 2:46 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6083/securities-industry-commentator/Veteran Wall Street Reform Advocate Bill Singer Esq. [read post]
24 Sep 2021, 8:08 am by gabrielagendreau
Duties include: (1) Providing on-site legal advice to the Tribal Council and various Tribal government and commercial entities regarding a wide variety of matters, including gaming related matters; (2) Attending frequent meetings of the Tribal Council and periodic meetings of the Tribe’s General Membership; (3) Drafting Tribal Ordinances, policies and procedures; (4) Negotiating and documenting commercial transactions; (5) Drafting formational documents of Tribal commercial entities; (6)… [read post]
23 Sep 2021, 9:08 pm by Katelynn Catalano
The post Week in Review first appeared on The Regulatory Review. [read post]
23 Sep 2021, 9:03 pm by Andrew Garber
This legislative backlash against election officials is an urgent warning sign to anyone concerned about the resiliency of American democracy.The post Election Officials as Regulators of Voting Access first appeared on The Regulatory Review. [read post]
23 Sep 2021, 7:24 pm by Shannon O'Hare
Maintain systems for compliance with “routine” regulatory filings etc 4. [read post]
23 Sep 2021, 8:41 am by John Jascob
By John Filar AtwoodIn a letter to SEC Chair Gary Gensler, several industry groups urged the SEC to review stablecoins such as USD Coin and Thether and other digital assets to ensure they are complying with the federal securities laws. [read post]
23 Sep 2021, 8:41 am by Bruce Zagaris
VASPs and crypto platforms will want to review with an eye to upgrading their AML/CFT due diligence standards as the regulatory requirements will continue to be dynamic. [read post]
23 Sep 2021, 8:41 am by Bruce Zagaris
VASPs and crypto platforms will want to review with an eye to upgrading their AML/CFT due diligence standards as the regulatory requirements will continue to be dynamic. [read post]
22 Sep 2021, 9:08 pm by Michael Lomtevas
Otherwise, the CRS concludes that offshore aquaculture development in the United States looks unlikely.The post Charting a Course Toward Offshore Aquaculture first appeared on The Regulatory Review. [read post]
22 Sep 2021, 9:05 pm by Ciara Torres-Spelliscy
State-level preemption of local regulation can be bad for public health, as Americans have seen during the pandemic, and it can also be bad for the health of democracy and the integrity of future elections.The post Red State Lawmakers Preempt Campaign Finance Laws in Blue Cities first appeared on The Regulatory Review. [read post]
22 Sep 2021, 11:50 am by The White Law Group
FINRA Bars Former AXA Advisor, Jenna Kang after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Jenna Kang (Jihye Kang) (CRD#: 6334679) from the securities industry after she allegedly refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had signed customer signatures on her… [read post]
22 Sep 2021, 8:23 am by admin
We often counsel clients in relation to consent requests by providing a checklist of consent request requirements and recommending that they review all express consent requests against the checklist. [read post]
22 Sep 2021, 7:00 am by John Jascob
The PCAOB is also gathering information on changes that firms are making to their quality control systems, which may be in response to new or changing regulatory, environmental or firm specific factors.Focus on COVID-19 pandemic. [read post]
22 Sep 2021, 7:00 am by Roberto C. Blanch
For instance, the Florida Bar’s new Condominium Law and Policy on Life Safety Task Force is reviewing many of the laws that impact condominium associations, and it is taking testimony and recommendations from various professionals and other parties in its efforts to develop and recommend legislative and regulatory changes aimed at preventing a similar collapse. [read post]