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7 Jan 2012, 8:39 pm
The Commissioner accepted APRA’s principal argument that the disclosure of the 12 risk registers could reasonably be expected to have a substantial adverse effect on those sectors by influencing the decisions and actions of individual entities within the banking, insurance and other financial institution sectors, that are regulated by APRA and may take action to evade possible regulatory action by APRA should the risk registers be disclosed. [read post]
6 Dec 2009, 9:11 pm
December 7, 2009 – A summary review of environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
25 Aug 2008, 6:10 pm
Fed Chair Seeks Legislation on Macro Prudential Regulation of Systemic Risk to Financial SystemCiting the Bear Stearns experience, Federal Reserve Board Chair Ben Bernanke asked Congress to adopt a regulatory macro-prudential regime capable of dealing with systemic risk to the financial markets. [read post]
13 Jun 2012, 9:00 am
Financial Industry Regulatory Authority announced a new pilot program will launch on July 2 that will give parties more flexibility in cases involving more than $10 million in claims. [read post]
4 Jun 2015, 4:00 am
Very high financial penalties if any turtle is killed? [read post]
15 Apr 2022, 11:46 pm
John Berlau from USA Today has warned that regulatory agencies must be careful not to exceed their authority conferred by Congress. [read post]
25 Jan 2024, 3:07 am
Ms Pritchard flagged that the industry has been asking the FCA for some regulatory intervention in this space and particularly in two key elements set out in the consultation – firstly non-financial misconduct, and secondly setting strategies, targets and data reporting targeted at the largest firms only. [read post]
16 Apr 2012, 1:27 pm
Miller was linked by FINRA (Financial Industry Regulatory Authority)document to sales of unregistered stock in a venture known as IdleAire. [read post]
17 Jun 2010, 6:53 am
(House § 7304,)Add the House provision requiring GAO to study issues surrounding employees who leave the SEC and become employed in the securities industry. [read post]
18 Jun 2021, 8:16 am
Legal and Regulatory Developments SPOTLIGHT: Lina Khan, Prominent Big Tech Critic, Will Lead the FTCNPR – June 15, 2021 President Joe Biden has named Lina Khan as the chairwoman of the Federal Trade Commission, giving the regulatory authority’s top spot to one of Silicon Valley’s most prominent critics. [read post]
18 Aug 2014, 2:04 pm
According to Cleveland.com, one of the principals of Cedar Brook Financial Partners, a wealth management firm in Ohio, was suspended and fined by the Financial Industry Regulatory Authority (FINRA). [read post]
1 Feb 2009, 5:23 am
Securities arbitration is run by the Financial Industry Regulatory Authority (FINRA), formerly known as the National Association of Securities Dealers (NASD) Regulation, Inc. [read post]
7 Jul 2008, 12:03 pm
The key policy themes for this year's event are: • Intellectual property rights • Financial transaction • Child online & education • Governance frameworks & Innovation The event is targeted at industry representatives, legal scholars, policy makers and… [read post]
4 Aug 2009, 5:29 am
Truck and Bus Safety and Regulatory Reform Act of 1986. [read post]
14 May 2012, 2:00 am
These new regulatory burdens will weigh not just on the real estate industry and borrowers generally, but also on the Department of Corporations. [read post]
4 Sep 2018, 6:00 am
Bill 141 establishes the regulatory foundation upon which this industry will stand, and will shape its development in the years to come. [read post]
14 Apr 2016, 7:45 am
Members are required to represent that they are authorized to bind their affiliates to the terms of the policy, including parent and sister companies. 1. [read post]
27 Dec 2020, 9:06 pm
The Regulatory Review is pleased to highlight our top regulatory essays of 2020 authored by a select number of our many expert contributors. [read post]
24 Aug 2021, 6:17 am
On Friday, August 13, the Financial Industry Regulatory Authority issued Regulatory Notice 21-29 (the “Notice”), a timely reminder that summarizes and reiterates firms’ supervisory obligations when outsourcing to third-party vendors. [read post]
4 Mar 2024, 7:36 am
AI Regulation Roadmap The government has written to regulators including the Office of Communications (Ofcom); Information Commissioner’s Office (ICO); Financial Conduct Authority (FCA); Competition and Markets Authority (CMA) asking them to publish an update outlining their strategic approach by 30 April. [read post]
