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6 Nov 2017, 7:11 am
However, for markets and activities not covered by regulatory rules and principles, the FCA’s expectations of authorised firms are less clear. [read post]
4 Apr 2012, 6:37 pm
In sum, FDA is taking longer to complete the reviews of 510(k)s and PMAs when the purpose of the user fee program was to streamline the regulatory process. [read post]
19 Oct 2011, 9:08 am
For example, Commission staff is currently engaged in a general review of ETFs in connection with, among others, the adequacy of investor disclosure, liquidity levels and transparency of underlying instruments in which they invest, fair valuations, efficiency in the arbitrage process and the relationship between market volatility and ETFs. [read post]
13 Sep 2023, 9:05 pm
Both of these recommendations were discussed previously in The Regulatory Review. [read post]
24 Oct 2019, 7:07 pm
Authorized Institutions (and their staff) are encouraged to review the explanatory note to ensure compliance with the relevant requirements under the Insurance Ordinance. [read post]
25 Mar 2015, 7:51 am
A member firm’s determination must be reasonable under the circumstances and should be reviewed from time to time, suggested to be annually by FINRA, if payments to unregistered persons are ongoing. [read post]
19 Mar 2013, 1:36 pm
Granted, as a regulatory body it possesses little authority. [read post]
14 Apr 2020, 1:11 pm
The Commission and the staff are continuing to assess the impacts and will be considering further relief designed to help funds and advisers to continue operations and meet regulatory deadlines. [read post]
28 Aug 2022, 9:21 pm
The essays in this series in The Regulatory Review already serve to highlight the core authors of the materials featured on Codes-and-Standards.org. [read post]
26 Jan 2017, 2:07 pm
No correspondence should be cleared to go to Congress or to any Governor until it has been reviewed by the Acting Chief of Staff and/or Senior White House Advisor. [read post]
6 Aug 2019, 8:15 am
The FCA notes that this is not a full post-implementation review and it does not propose to make any policy changes based on it. [read post]
11 Nov 2021, 11:39 am
” These changes will enable FTC staff to more easily identify possible challenges to productions of documents and data. 3. [read post]
29 Dec 2023, 5:35 am
How will resultant data get used in sensitive contexts like legal proceedings or regulatory investigations? [read post]
21 Aug 2022, 7:20 am
If questions arise during staff review, the Enforcement Bureau will contact the licensee. [read post]
10 Feb 2016, 6:58 am
To identify climate-related supply chain risks which companies disclosed in their SEC filings, the GAO examined EDGAR filings and interviewed SEC staff, as well as reviewed studies by non-governmental organizations. [read post]
1 Jun 2023, 10:00 am
*This post is part of a symposium on Modernizing Regulatory Review. [read post]
7 Nov 2016, 2:31 am
Quite simply, they should invite a review and inspection from the national regulatory authorities in the countries in which the main Office sites are located, i.e. the German and Dutch labour ministries. [read post]
29 Aug 2014, 10:59 am
The IRU staff includes a federal criminal prosecutor and experienced law enforcement agents. [read post]
19 Jun 2014, 9:31 am
The guide indicates that it is for administrators as well as business office staff, social service personnel, and any staff members involved in the admissions process. [read post]
28 Apr 2023, 2:22 am
In light of recent market developments, firms in the FinTech space should be taking steps to review and enhance as needed their internal governance arrangements since these are key to mitigating the risk of misconduct and mistakes and consequential investigations, enforcement and claims, which can significantly impact not only the business but also its staff. [read post]
