Search for: "The Regulatory Review"
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3 Mar 2023, 2:07 am
The independent review on ring-fencing, chaired by Sir Keith Skeoch, found that the benefits of the ring-fencing regime would likely reduce over time as the resolution regime for banks is embedded. [read post]
19 Sep 2011, 6:00 am
This document provides guidance on the regulatory prohibition on the inclusion of exculpatory language in informed consent in clinical trials and other research. [read post]
1 Oct 2007, 3:32 pm
The US Supreme Court has denied review to MiPro Homes, L.L.C. v. [read post]
1 Oct 2007, 3:32 pm
The US Supreme Court has denied review to MiPro Homes, L.L.C. v. [read post]
3 Feb 2012, 3:54 pm
Not stopping there, it also “creates efficiencies” by exempting the NextGen program from environmental review under the National Environmental Policy Act, 42 U.S.C. [read post]
19 Dec 2013, 10:56 am
For the new issue of Antitrust Source see: Antitrust Source (December 2013). __________________ For more information about our regulatory services: contact For more regulatory law updates follow us on Twitter: @CanadaAttorney [read post]
23 Jul 2019, 9:05 pm
For independent agencies, judicial review in Brazil is substantially narrowed by agencies’ technical discretion—namely, agencies’ discretion in exercising their regulatory powers over a regulated sector. [read post]
28 Dec 2010, 10:41 am
In March 2010, the Financial Industry Regulatory Authority (FINRA) formally expelled Provident Asset Management LLC, the broker-dealer arm of Provident. [read post]
19 Apr 2010, 1:29 pm
Crawford's statement:"The bill's current language offers an unworkable regulatory review process, which, contrary to those who have mischaracterized our position on Reg D Rule 5O6 offerings, has not been called for by NASAA. [read post]
7 Aug 2023, 6:49 am
Includes an update on the remit of the Senior Managers and Certification Regime in relation to payments, noting the government’s ongoing wider review of the regime. [read post]
16 Jul 2012, 5:31 pm
– Dallas, Texas lawyer coach Cordell Parvin on the Cordell Parvin Blog Monday Morning Regulatory Review – 7/16/12 – Washington, DC lawyer Lee Beck on his blog, the Federal Regulations Advisor My Real Estate Agent Told Me To File Bankruptcy To Help With A Short Sale – LA attorney Christine Wilton on her blog, Los Angeles Bankruptcy Law Monitor For more of the best, check out LXBN, a complete review of the top insight and commentary across the… [read post]
29 Jan 2015, 5:48 pm
Earlier this month, FINRA released its 2015 Regulatory and Examinations Priorities Letter. [read post]
18 Nov 2024, 3:00 am
But, in terms of next steps for NOCLAR, those are TBD pending review of all comment letters, the roundtable feedback and responses to targeted inquiries from firms regarding their existing approach. [read post]
14 May 2008, 4:49 am
Auditors' Access to Board Minutes: Results of Our Quick Poll A few weeks ago, I blogged a poll about auditors asking to review board minutes. [read post]
13 Jun 2011, 7:58 pm
What does the path of financial reform say about legislative and regulatory process? [read post]
11 Jun 2013, 12:50 pm
Agencies use ADR in their own regulatory work. [read post]
29 Jan 2015, 5:48 pm
Earlier this month, FINRA released its 2015 Regulatory and Examinations Priorities Letter. [read post]
14 Oct 2022, 11:59 am
It is important to have Malecki Law’s FINRA Regulatory Lawyers in New York assist in ensuring your firm’s storage systems are sufficient. [read post]
21 Mar 2024, 9:04 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
28 Feb 2014, 4:46 am
The duty to supervise is a critical component of the securities regulatory scheme. [read post]
