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24 Oct 2008, 1:26 am
Liz Atkins, Austrac's General Manager Regulatory Policy recently made the following observations about compliance to date: Austrac expects reporting entities to have appointed an AML/CTF Compliance Officer; in the area of employee due diligence, she reminded businesses that staff needed to be re-screened if they were moved to sensitive areas; program reviews needed to be done by someone not involved in the development of… [read post]
9 Apr 2021, 12:02 pm
The article describes a review and consensus reached by the Federation of State Medical Boards, representing the 71 state medical and osteopathic regulatory boards — commonly referred to as state medical boards — in the United States, its territories, and the District of Columbia. [read post]
20 May 2022, 6:21 am
For example, data compiled by IPO Vital Signs, a Wolters Kluwer Legal & Regulatory U.S. database that includes all SEC registered IPOs (including REITs and those non-U.S. [read post]
27 Oct 2011, 12:51 pm
(The then-director of that office resigned from FINRA last year during the SRO's internal review of the matter). [read post]
31 Mar 2016, 7:18 am
For more on these routine regulatory dates, see our Broadcasters Calendar, here. [read post]
12 Sep 2019, 9:05 pm
The rule, which is scheduled to go into effect October 15, also applies to immigrants who are “likely at any time to become a public charge,” as assessed by DHS staff. [read post]
6 Jan 2014, 6:30 am
An investigator is also present, and other SEC staff may attend.Witnesses who are subpoenaed to appear and give testimony are entitled to see the formal order, and it should be reviewed carefully. [read post]
1 May 2014, 11:17 am
Furthermore, LPL failed to train its staff to assess state-mandated suitability standards as part of the company’s review of the suitability of alternative investments. [read post]
3 May 2022, 9:03 pm
In response, the Federal Energy Regulatory Commission (FERC) announced at its February meeting a new interim policy for addressing environmental and public-interest issues that arise from its review and approval of new interstate natural gas pipelines. [read post]
25 Aug 2024, 9:06 pm
We are publishing this series of tributes throughout the coming month in The Regulatory Review. [read post]
4 Mar 2020, 6:49 am
The FCA will keep its guidance under review as necessary. [read post]
19 Sep 2011, 2:00 am
The press release also indicated that, pending completion of the review, the staff would defer consideration of exemptive requests under the Act relating to exchange-traded funds (“ETFs”) that propose to make extensive use of derivatives in implementing their investment objectives.[3] As part of such review, the SEC states that members of the staff met with industry groups and some fund complexes that use OTC derivatives, and that the staff… [read post]
27 Jun 2012, 9:30 pm
To nail down its criticism that the current system of internal review by the Office of Information and Regulatory Affairs (OIRA) is inadequate, Romney’s plan denounces as “political theater” OIRA Administrator Cass Sunstein’s proclamation that his regulatory review resulted in $2 billion in annual savings because it amounted to savings of only 0.1 percent in regulatory costs. [read post]
23 Jan 2023, 7:03 am
The Ministerial Statement provided that: The Government will launch a Call for Evidence to look at the legislative framework of the regime, and the FCA and PRA will review the regulatory framework. [read post]
26 Sep 2021, 7:48 am
Several other TV stations also received admonitions (admonitions can be considered in assessing penalties for future violations) for violations discovered by the FCC’s staff in their review of stations’ public files. [read post]
12 Sep 2022, 9:05 pm
The post Toxic Metals in Baby Food Remain Unregulated first appeared on The Regulatory Review. [read post]
2 Sep 2011, 11:43 am
Posted by Craig HoffmanLast week we reviewed recent tracking litigation. [read post]
16 Sep 2022, 6:30 am
Then in a September 2021 no-action letter to the Financial Industry Regulatory Authority (FINRA), the staff expressed the view that Rule 15c2-11, including the 2020 amendments, applies to other types of OTC securities, including fixed income securities. [read post]
16 May 2017, 7:09 am
Projects of National Consequence, requiring review by the federal cabinet; 2) projects of significance that require a Joint Review Panel review but not review by cabinet; and, 3) "smaller" activities that require review and approval but not a full Joint Panel review;;Enshrinement in legislation of two core principles: 1) no regulated activity shall proceed without proper approval; and, 2) all regulated activities must undergo… [read post]
7 Nov 2021, 9:05 pm
When they do, the ACUS recommendation can help.The post Improving the Management of Public Comments in a Digital Age first appeared on The Regulatory Review. [read post]
