Search for: "The Regulatory Review"
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13 Mar 2023, 8:08 pm
ASIC is conducting a risk-based review of a selection of annual reports to ensure regulated entities are adequately disclosing relevant material business risks. [read post]
10 Jul 2012, 9:50 am
It is unsure that the terms of so-called substituted compliance, which theoretically should allow market participants in other well regulated markets to rely on their home market regulation, would actually work in practice.This substituted compliance process will be different than the mutual recognition model, observed SIFMA, and would require the CFTC to individually review the rules of foreign nations. [read post]
25 Sep 2019, 3:58 pm
Employers also should carefully review existing guidance to verify their understanding of what bonuses and incentive payments qualify as nondiscretionary for purposes of the WHD regulations as employers frequently underestimate and inappropriately fail to take into account bonus or other incentive compensation when calculating overtime that WHD views as nondiscretionary and therefore required to be included when calculating and paying overtime.Additionally, employers relying upon the… [read post]
18 Jul 2024, 8:40 pm
Businesses must address these reviews promptly and effectively. [read post]
25 Jun 2024, 11:25 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
6 Jan 2009, 7:09 am
Yesterday the House Committee on Financial Services held a hearing on the Madoff ponzi scheme and the "Need for Regulatory Reform. [read post]
25 Dec 2014, 4:20 am
FINRA alleged that Sammons employed an email review system that included the use of a limited number of search terms to identify emails for possible review and a protocol where 10% of the identified subset of emails were actually reviewed. [read post]
9 Oct 2018, 11:57 pm
Exempt From CEQA Review Bottini v. [read post]
28 Feb 2023, 2:45 am
The review is focussed on capital adequacy, liquidity adequacy and wind-down planning under the ICARA process, as well as regulatory reporting. [read post]
9 Sep 2011, 7:30 am
Section 914 of the Dodd-Frank Act required the Commission to review and analyze the need for enhanced examination and enforcement resources for investment advisers and report to Congress on regulatory or legislative steps necessary to address concerns identified in the study.The SEC study mandated by the Dodd-Frank Act recommended users fees or an SRO as a way to enhance the effectiveness of the oversight of investment advisers. [read post]
5 May 2024, 7:47 am
The FCC’s Media Bureau will issue a public notice announcing the deadline when the OMB review is complete. [read post]
12 Jul 2009, 1:53 pm
Please note that the Law Review prefers electronic submissions. [read post]
13 May 2009, 7:54 am
The concept of such a review was highly radical when first proposed. [read post]
25 May 2017, 8:55 am
The FCC clearly signals that its reliance on Title I will promote deregulation, if not unregulation, but ample case precedent shows that reviewing courts may not trust regulatory agencies to maintain consistency. [10] The FCC clearly seeks to remove regulatory oversight, but it also retains Title I, so-called ancillary jurisdiction to intervene as circumstances warrant, e.g., when a carrier deviates from any of the 2005 Open Internet principles. [read post]
25 May 2017, 8:55 am
The FCC clearly signals that its reliance on Title I will promote deregulation, if not unregulation, but ample case precedent shows that reviewing courts may not trust regulatory agencies to maintain consistency. [10] The FCC clearly seeks to remove regulatory oversight, but it also retains Title I, so-called ancillary jurisdiction to intervene as circumstances warrant, e.g., when a carrier deviates from any of the 2005 Open Internet principles. [read post]
10 Dec 2014, 6:25 am
This article continues the examination of the findings by The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), concerning LaSalle St. [read post]
20 Mar 2015, 7:14 am
This post continues our firm’s investigation concerning the recent allegations brought by The Financial Industry Regulatory Authority (FINRA) sanctioning brokerage firm World Equity Group, Inc. [read post]
6 Feb 2024, 6:40 am
Upholding the ring-fencing regime – supporting the on-going work to align with the resolution regime, as recommended by the Skeoch Review. [read post]
4 May 2020, 7:07 pm
Threshold for reviewed financials. [read post]
7 Oct 2024, 11:30 am
Companies should regularly review and update their programs, incorporating lessons learned from incidents, audit findings, and industry developments.Action item: Evaluate your process for reviewing and updating your compliance program. [read post]
