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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]
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]
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]
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]
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]
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]
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]
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]
14 Apr 2023, 9:05 pm
The post Bettering Behavioral Health first appeared on The Regulatory Review. [read post]
9 Jul 2019, 2:10 pm
“I look forward to reviewing public comments in response to the Commissions’ proposal. [read post]
6 May 2013, 8:51 am
– DADS invites all Region 4/5 AL and ADC providers to attend a meeting with DADS Regulatory Services Division staff members, on Wednesday, June 26, 2013, from 9-noon at the University of Texas at Tyler’s Ornelas Activity Center located at 3402 Old Omen Road in Tyler. [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]
5 Dec 2011, 1:56 pm
Resources: FINRA's Regulatory Notice 11-54 SEC Announcement - 2011-250 [read post]
29 Jun 2018, 6:00 am
Furthermore, the Division would likely recommend that the SEC deny any request to accelerate the effective date of the filing in its present form.At present, SEC staff comment letter dialogs with companies are released on EDGAR no earlier than 20 business days following the completion of the filing review process. [read post]
28 Dec 2021, 9:02 pm
The Regulatory Review is pleased to highlight our top 25 Saturday Seminars of 2021 authored by members of our staff. [read post]
10 Aug 2010, 5:40 am
There are several factors that could help explain the Staff's increased focus on risk disclosure in filing reviews. [read post]
10 Feb 2018, 7:14 pm
She focuses primarily on agricultural legal and regulatory issues, including reviewing, drafting and writing agriculture regulations. [read post]
15 Aug 2013, 7:24 am
In addition, the estimates do not include time spent by the Commissioners and their staff reviewing and considering the proposal, and do not include time by staff providing administrative support in connection with the proposals. [read post]
23 Nov 2020, 2:33 pm
The Compliance Rule requires advisers to consider their fiduciary and regulatory obligations under the Advisers Act and to formalize policies and procedures to address them.The Alert details common deficiencies, including:OCIE staff observed advisers that did not devote adequate resources, such as information technology, staff and training, to their compliance programs. [read post]
1 Dec 2021, 9:03 pm
If more stringent regulations are imposed on providers due to the global health crisis, Ali, Herbst, and Makridis contend that such changes will have long-lasting detrimental effects for the labor market while doing little to enhance the quality of childcare.The post Paying the Price of Regulating Childcare first appeared on The Regulatory Review. [read post]
