Search for: "The Regulatory Review"
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13 Sep 2015, 6:39 am
Reg SCI is a wide-reaching new regulatory regime aimed at improving the SEC’s oversight of the US securities market and the market’s operational stability. [read post]
1 Jul 2016, 11:16 am
In line with the Securities and Exchange Commission’s (SEC) goal to enhance regulatory safeguards in the asset management industry, the SEC yesterday released a proposed new rule and rule amendments under the Investment Advisers Act of 1940. [read post]
29 Oct 2012, 12:12 pm
The problem is that NEXT only reviewed the private placement memorandum. [read post]
20 Apr 2016, 9:23 am
Based on a review of the ACHC current standards, survey practices and review procedures, DADS has determined that the ACHC standards and practices for review of LHHS, L&CHHS, PAS and hospice agencies in Texas meet or exceed the minimum licensing standards currently adopted for HCSSAs under Texas Administrative Code (TAC), Title 40, Part 1, Chapter 97, Licensing Standards for Home and Community Support Services Agencies. [read post]
8 Feb 2012, 3:57 pm
That includes responding to regulatory inquiries, developing records review procedures, conducting records reviews and handling benefit settlements and payments strategies. [read post]
6 Feb 2012, 11:42 am
That includes responding to regulatory inquiries, developing records review procedures, conducting records reviews and handling benefit settlements and payments strategies. [read post]
25 Sep 2023, 3:02 am
The reforms themselves are intended to turbocharge UK growth and deliver a smarter and home-grown regulatory framework for the UK. [read post]
5 May 2012, 12:53 pm
Acknowledging these hybrid instruments would allow both agencies jointly to design appropriate disclosure, regulatory, and oversight procedures. [read post]
6 Aug 2018, 1:40 pm
(Case review done by attorney Tom Lamb) [read post]
7 Mar 2011, 8:00 pm
The Act would further create an expedited review process designed to ensure that there is a prompt up-or-down vote in each house of Congress on all new “major” rules, which represent less than five percent of the 3,000-plus federal regulations promulgated each year. [read post]
28 Aug 2009, 8:56 am
The Investment Industry Regulatory Organization of Canada (IIROC) published a notice yesterday with respect to the best execution and best price obligations of Participants under the Universal Market Integrity Rules (UMIR). [read post]
29 Jul 2014, 8:27 am
Following the Arbitration Task Force’s review, it will submit recommendations to FINRA’s National Arbitration and Mediation Committee. [read post]
1 Jul 2009, 4:16 pm
In reviewing awards, I notice that some San Francisco arbitrators who sat on multiple cases consistently ruled against claimants. [read post]
30 Jun 2024, 11:24 am
Apparently, both the FCC and reviewing courts must interpret and apply the meaning of wire as originally used in the organic law creating the FCC, unless and until Congress provides a new definition. [read post]
30 Jun 2024, 11:24 am
Apparently, both the FCC and reviewing courts must interpret and apply the meaning of wire as originally used in the organic law creating the FCC, unless and until Congress provides a new definition. [read post]
2 Jun 2024, 8:12 am
On our Broadcast Law Blog, we highlighted upcoming regulatory deadlines for broadcasters for June and early July. [read post]
28 Mar 2008, 4:06 am
The recommendations are designed to improve the FSA's supervision of firms rated as high-impact using ARROW, the FSA's framework for identifying risks from firms or industry sectors to its regulatory objectives.The main features of the supervisory enhancement programme are: A new group of supervisory specialists will regularly review the supervision of all high-impact firms to ensure procedures are being rigorously adhered to. [read post]
28 Dec 2007, 11:33 am
Part II reviews U.S. cases involving negligence liability for breaches of data security, identifying the key problems facing plaintiffs. [read post]
27 Dec 2021, 8:04 am
Without denying or admitting to the self-regulatory organization’s (SRO’s) findings, RBC consented to a censure, a $550K fine, and more than $456K in restitution. [read post]
24 Oct 2018, 11:59 am
The Financial Industry Regulatory Authority (FINRA) suspended his securities license and barred him from conducting business in the industry. [read post]
