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25 May 2023, 1:30 pm
*This post is part of a symposium on Modernizing Regulatory Review. [read post]
25 Sep 2019, 9:37 am
On 24 September 2019, the FCA published a webpage setting out its key findings and next steps in relation to its review of firms’ governance practices covering the value provided by unit-linked funds. [read post]
28 Nov 2007, 4:49 am
McCreevy Rejects EU SEC as EC Reviews Lamfalussy ProcessAs the European Commission conducts a broad review of the process for implementing financial services legislation, Commissioner for the Internal Market Charlie McCreevy opted for enhanced multi-dimensional authority for national regulators instead of a super SEC-type regulator for the European Union. [read post]
28 Sep 2009, 12:27 am
"We believe (the study) will underscore the strengths of FDA's current regulatory approach and dispel many of the misconceptions about the process," she said. [read post]
15 Feb 2012, 8:52 pm
. “Moody’s Investor Service warned on Thursday it could downgrade the credit ratings of 17 global banks and securities firms due to more fragile funding conditions, increased regulatory burdens and a more difficult operating environment.” Related: Moody’s Eyes 114 European Bank Ratings For Possible Downgrade. “Moody’s Investors Service placed various ratings of 114 financial institutions in 16 European countries on review for a possible… [read post]
11 Jan 2019, 4:21 am
The report, which has been prepared by an external contractor, represents the first step in the AIFMD review process. [read post]
15 Nov 2022, 3:19 pm
Supreme Court seeking review of the Fifth Circuit panel decision in Community Financial Services Association of America Ltd. v. [read post]
8 Mar 2023, 9:30 am
These latest updates, as further detailed below, act as a reminder of the current regulatory focus on governance. [read post]
15 Jun 2015, 8:01 am
FINRA also determined after its review that LPL’s supervisory systems to review trading activity in customer accounts were plagued by multiple deficiencies. [read post]
4 Sep 2022, 5:16 pm
On August 31, the FCC’s Media Bureau entered into two consent decrees in connection with its review of the renewal applications of a group of commonly owned FM stations in California. [read post]
2 Apr 2015, 9:46 am
We previously cautioned employers when FINRA issued a Regulatory Notice cracking down on the use of confidentiality provisions that restrict employees from communicating with FINRA, the SEC, or any other self-regulatory organization or regulatory authority. [read post]
11 May 2010, 1:38 pm
Today, the SEC and Commodity Futures Trading Commission announced the formation of a joint committee to address "emerging regulatory issues", with the first item on the committee's agenda being a review of last Thursday's market events. [read post]
5 Sep 2017, 1:50 am
[The Council of the EU and the European Parliament now have three months in which to review Delegated Regulation. [read post]
27 Aug 2024, 9:05 pm
I can hear and feel that voice and energy, when I reflect on the trajectory of my own work, and in the lives that we have shared.The post Howard Was Always There first appeared on The Regulatory Review. [read post]
30 May 2021, 9:10 pm
”The post Dollar Signs in Uniform first appeared on The Regulatory Review. [read post]
5 Mar 2021, 9:03 pm
The post Vaccine Mandates in the Time of COVID-19 first appeared on The Regulatory Review. [read post]
21 Jan 2025, 9:05 pm
Until policymakers take action to protect patients and providers, pregnant people will continue to be overlooked and will suffer preventable consequences and deaths.The post Miscarriage of Justice first appeared on The Regulatory Review. [read post]
25 Aug 2024, 9:09 pm
I aspire to sustain a similar degree of passion for my own work and for using behavioral science to improve the world.The post Mentoring for Good first appeared on The Regulatory Review. [read post]
18 Nov 2012, 9:30 pm
President Reagan first imposed regulatory planning and review standards on executive agencies by requiring them to submit proposed and final rules for White House review. [read post]
15 Aug 2018, 12:38 pm
The Act supports CFIUS regulatory response to the evolution in alternative trading system (“ATS”) transaction types. [read post]
