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19 May 2023, 2:16 pm
The panelists indicated that CAT compliance will continue to be a regulatory focus in service of regulators’ increased reliance on CAT data for market surveillance and market event reconstruction. [read post]
19 May 2023, 4:00 am
With only a modest budget increase, the commission also will not be able to hire additional staff for its overburdened enforcement program. [read post]
18 May 2023, 2:50 am
Front office and tipping off – Compliance being reluctant to provide feedback to front office staff on surveillance matters or refuse client orders due to concern about tipping off. [read post]
16 May 2023, 10:42 pm
These updates to RG 78 are intended to support the use of the data for ASIC’s regulatory purposes and public reporting, as well as to reduce regulatory burden on industry. [read post]
16 May 2023, 9:01 pm
That may be because company filings are generally subject to a level of review and scrutiny that ESG reports or similar publications and communications as to ESG performance are not–but should be, given the potential consequences (both from the perspective of regulatory and litigation risk). [read post]
16 May 2023, 10:48 am
Jeff, welcome back to The Geek in Review. [read post]
16 May 2023, 6:19 am
In fact, in the 1980s, Margaret Thatcher became so frustrated by the BBC’s coverage of her administration that she launched a sweeping (but unsuccessful) review to “knock the BBC down to size. [read post]
15 May 2023, 9:17 am
Among the applicable regulatory requirements is the PRA’s Supervisory Statement on Corporate Governance which applies to all dual‑regulated firms. [read post]
15 May 2023, 9:12 am
“I congratulate all the graduating students who served on The Regulatory Review staff and wish them continued success in all that they will achieve in the years ahead,” Coglianese added. [read post]
14 May 2023, 9:03 pm
For all significant regulatory actions, the Office of Information and Regulatory Affairs (OIRA) coordinates a review process in which regulatory actions are evaluated for their underlying policy analysis, and where other components of the White House—notably, West Wing policy staff—and the other departments of the executive branch review the proposed action. [read post]
12 May 2023, 12:41 pm
The Congressional-Executive Commission on China (CECC) has focused on the sanctions side of emerging U.S. policy.The Congressional-Executive Commission on China (CECC) today released a staff report detailing the role Hong Kong judges play in establishing a de facto parallel legal system where basic procedural rights such as trial by jury and presumption of innocence are routinely violated. [read post]
11 May 2023, 9:01 pm
It’s time to seal this regulatory gap. [read post]
11 May 2023, 9:01 am
Psychotropic medications should never be used for the convenience of nursing home staff. [read post]
11 May 2023, 8:13 am
As with the last FCC audit, the FCC staff will review the audit responses and ask for additional information if they find the public file documentation to be incomplete, but they will not inform audited stations that their EEO performance was found satisfactory. [read post]
9 May 2023, 11:24 am
Review and analyze the specific regulation or regulations cited in the notice in order to understand the extent of the employer’s regulatory obligations (Note: The notice will provide a web address where employers can search for the specific regulatory section identified in the notice); 3. [read post]
7 May 2023, 9:01 pm
The 2019 Nonbank Designation Guidance provides that before making a recommendation to a federal regulatory agency pursuant to Section 120 of the Dodd-Frank Act for new or heightened standards and safeguards, FSOC will ascertain whether the primary financial regulatory agency would be expected to perform a cost-benefit analysis of the actions it would take in response to FSOC’s contemplated recommendation. [read post]
7 May 2023, 8:53 am
On December 8, 2022, the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) jointly issued Staff Notice 23-329 – Short Selling in Canada (the Notice). [read post]
7 May 2023, 7:01 am
Team Telecom now reviews all applications even in situations without foreign ownership and takes much longer to process recommendations. [read post]
1 May 2023, 9:03 pm
A national takeaway chain said they have a high staff and management turnover and many employees are inexperienced. [read post]
1 May 2023, 7:46 am
The claimants argue that the delay in filing the claims resulted from the newspaper’s concealment of its staff’s behaviour. [read post]
