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27 Apr 2012, 7:45 am
The financial industry has been attempting to delay the rule. [read post]
10 Oct 2009, 12:22 pm
The Financial Industry Regulatory Authority also wants to expand its investment adviser authority. [read post]
2 Oct 2024, 4:41 am
Editor’s Note: The Summer 2024 eDiscovery Business Confidence Survey offers a comprehensive snapshot of the industry, highlighting shifts in business confidence, financial expectations, and technological adoption. [read post]
4 Oct 2011, 1:09 pm
This increased regulation would prove a significant financial hardship to those who raise cattle. [read post]
22 Jun 2023, 7:13 am
General Duty Clause and Private Civil Injury Actions The four-part test applies to federal regulatory enforcement by OSHA. [read post]
4 Dec 2023, 9:02 pm
This is true with how people conduct almost all financial transactions. [read post]
1 Dec 2013, 10:05 am
Lord Sharman was the Liberal Democrat Spokesperson for Trade and Industry/Business and Regulatory Reform from 2001 to 2010. [read post]
9 Nov 2017, 1:49 am
The fashion industry, mining industry and financial services industry have all been met with allegations ranging from human rights abuse to breach of climate change guidelines. [read post]
21 Nov 2021, 9:00 pm
It also raises questions about OSHA’s authority to impose these requirements through an ETS rather than a permanent standard, allowing it to bypass the requirement of a notice-and-comment rulemaking.OSHA’s Prior Uncertainty Over Its Authority to Mandate VaccinationsThe OSH Act does not clearly authorize OSHA to mandate vaccinations or testing. [read post]
7 Jun 2017, 1:26 pm
The FIA recognises that further enhancements between EU authorities and the UK supervisory authorities post-Brexit may be desirable. [read post]
7 Jun 2017, 1:26 pm
The FIA recognises that further enhancements between EU authorities and the UK supervisory authorities post-Brexit may be desirable. [read post]
20 May 2024, 10:00 pm
Federal Deposit Insurance Corporation Explore the role of the FDIC and its main functions in the U.S. financial regulatory system. [read post]
15 Jan 2020, 8:03 am
The report is part of the EBA’s fintech roadmap project, whereby the European Supervisory Authority (ESA) aims to identify and keep track of merging trends in the banking industry and analyse their inherent risks. [read post]
15 Jan 2020, 8:03 am
The report is part of the EBA’s fintech roadmap project, whereby the European Supervisory Authority (ESA) aims to identify and keep track of merging trends in the banking industry and analyse their inherent risks. [read post]
6 May 2014, 4:26 pm
The following BakerHostetler Executive Alert was authored by: Andrew W. [read post]
2 Apr 2020, 6:59 am
The EBA statement reminds the financial services industry of the importance to maintain effective and strong anti-money laundering/counter-terrorist financing (AML/CTF) systems and controls in the current, challenging, environment. [read post]
26 Jun 2010, 4:59 pm
Works with Bank Regulators: Coordinates with other regulators when examining banks to prevent undue regulatory burden. [read post]
26 May 2023, 6:02 am
The post Week in Review first appeared on The Regulatory Review. [read post]
19 Nov 2020, 9:57 am
By Amanda Maine, J.D.The Financial Industry Regulatory Authority (FINRA) and the Securities Industry and Financial Markets Association (SIFMA) submitted comment letters to the SEC expressing their concern about the Commission’s proposed exemption from broker-dealer registration requirements for so-called "finders. [read post]
9 Jul 2018, 2:03 pm
The review will analyze the potential benefits and risks for both industry and consumers to determine what (if any) supervisory and regulatory actions are required. [read post]
