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10 Mar 2022, 7:15 am
We discuss the types of fees targeted in the RFI, particularly fees related to deposit accounts and mortgages, and the impact of existing regulatory requirements on the CFPB’s initiative. [read post]
4 Sep 2014, 1:36 am
” Read: Why Keeping Corporate Lawyers Quiet Is Good For Us All at The National Law Review The post Why Keeping Corporate Lawyers Quiet Is Good For Us All appeared on InhouseBlog.com. [read post]
10 Aug 2021, 11:21 am
On August 3, 2021, the Financial Industry Regulatory Authority (“FINRA”) and former Joseph Stone Capital L.L.C. stockbroker Eugene McAdams entered into a Letter of Acceptance, Waiver, and Consent No. 2020066887801 whereby Mr. [read post]
25 May 2010, 5:47 am
As part of that settlement, Piper Jaffray was required to review its systems and certify that it had established systems and procedures designed to preserve electronic mail communications. [read post]
16 Jun 2021, 12:55 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Marc Reda. [read post]
15 Dec 2021, 8:40 pm
The BoE will continue to keep the scope of the clearing obligation under review, including by monitoring developments in benchmark transition in the USD interest rate derivatives markets. [read post]
29 Sep 2017, 3:00 am
New Mercatus report on certificate-of-need laws, which operate to suppress competition in health care; “Hospitals don’t dispense perfectly safe but expired drugs because that may expose them to regulatory penalties or lawsuits. [read post]
28 Jan 2022, 10:07 am
In the first half of the consultation paper ESMA considers different proposals to further harmonize the policies and procedures for selecting and reviewing the APC margin measures. [read post]
24 Jul 2022, 1:01 pm
EPA, potentially one of the most important regulatory decisions by the Supreme Court in years. [read post]
20 Jan 2025, 8:21 am
Review the proportionality of reporting requirements and remove redundant returns, initially expected to benefit 16,000 firms. [read post]
21 May 2008, 10:25 am
The letter from Reggie Groves, Vice President, Quality and Regulatory, claims that the "chance there will be a problem with your Sprint Fidelis lead remains small. [read post]
6 Oct 2023, 7:01 am
The PRA states that all credit union boards should by 31 October 2023 review SS2/23, considering their business model, membership, and any additional activities, and agree a plan of how they will ensure ongoing compliance with the outlined requirements and expectations. [read post]
27 Feb 2017, 7:13 am
The European Banking Authority (EBA) has published final draft regulatory technical standards (RTS) on strong customer authentication and common and secure communication. [read post]
17 Oct 2015, 6:18 am
Following up on guidance issued in November of 2010, FINRA last month issued new liquidity risk management guidance after a year-long liquidity review of 43 member firms under a stressed environment. [read post]
1 Nov 2007, 4:00 pm
The Government have settled for complacency, quibbling about the wording of the recommendations, and picking out a handful of the more minor recommendations to "note" to "consider" and to "keep under review". [read post]
13 Jan 2011, 3:29 am
I received a very interesting job opportunity in my inbox this morning, which might be of interest to some readers of this blog:Senior Research AnalystTrilateral Research & Consulting, a London-based consultancy, specialising in research and the provision of strategic, policy and regulatory advice on new technologies, privacy, trust, surveillance, risk and security issues is seeking to engage a Senior Research Analyst to work on one or more new projects. [read post]
6 Sep 2013, 9:19 pm
“Now that those who will be regulated under the Act have had time to review and consider the FDA’s proposed FSMA rules, small farmers …are panicking. [read post]
25 Jul 2024, 6:31 am
In a working paper, we explore how prior employment affiliations of examiners in the Securities and Exchange Commission’s (SEC) filing review program affect the strictness of their oversight. [read post]
17 Oct 2015, 6:18 am
Following up on guidance issued in November of 2010, FINRA last month issued new liquidity risk management guidance after a year-long liquidity review of 43 member firms under a stressed environment. [read post]
5 Jul 2015, 6:00 am
The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) to enforce security-based swap and swap regulatory requirements under Title VII of the Dodd-Frank Act. [read post]
