Search for: "The Regulatory Review"
Results 7301 - 7320
of 28,145
Sorted by Relevance
|
Sort by Date
1 Feb 2024, 11:58 am
The residual risk add on (RRAO) is a key pillar of the standardised approach (SA) under the new fundamental review of the trading book (FRTB). [read post]
14 Oct 2013, 4:21 am
FINRA noted in a recent Regulatory Notice focused on suitability examinations what some firms are doing right when it comes to handling hold recommendations. [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]
6 Feb 2018, 12:38 pm
According to an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA), Berthel, Fisher & Co. allegedly violated securities laws. [read post]
19 Jan 2022, 2:07 pm
A survey of recent regulatory and insurer trends provides meaningful lessons for companies looking to mitigate cyberattack risks using their insurance portfolio. [read post]
23 Apr 2013, 10:09 am
From the court’s syllabus: The panel denied a petition for review, and upheld a decision of the Environmental Protection Agency granting two air permits authorizing exploratory drilling operations in the Arctic Ocean by a drillship and its associated fleet of support vessels.The panel upheld the EPA’s statutory and regulatory interpretations. [read post]
11 Sep 2008, 2:35 pm
Connaughton emphasized the importance of collaboration by offshore LNG developers with the multiple federal and state agencies involved in the review of the deepwater port projects. [read post]
28 Jun 2022, 8:55 pm
Prajakta Pradhan (National Law University, Lucknow (RMLNLU)) has posted Towards Intelligent Regulation of AI (University of San Francisco Law Review Forum, March 2021) pn SSRN. [read post]
28 Feb 2017, 10:35 am
In particular, much work is needed to ensure that the legal underpinnings of DLT arrangements are sound, governance structures are robust, technology solutions meet industry needs, and that appropriate data controls are in place and satisfy regulatory requirements. [read post]
21 Dec 2017, 12:05 pm
The Discussion Paper also puts forward a roadmap for the development of the regulatory deliverables on the FRTB and SA-CRR included in the CRR2 proposal. [read post]
22 Oct 2012, 3:26 pm
The Copyright Office is reviewing the problem of orphan works under U.S. [read post]
8 Mar 2024, 12:25 pm
Left to its current legal and regulatory frameworks, however, it will fuel inequality and the replication of racial hierarchy indefinitely. [read post]
1 Sep 2010, 8:43 am
This means that we need not only incentives for innovation but a strategy for dealing with financing issues and regulatory barriers. [read post]
3 Oct 2011, 11:40 am
At the FCC, Harold was also the Deputy Chief of the Media Bureau, which reviewed the Sirius/XM merger. [read post]
24 Jan 2009, 3:14 pm
Humphreys Trapped: Judicial Review of Municipal Agencies' Sick Leave Policies Daniel E. [read post]
29 Nov 2022, 1:12 pm
The text also describes each country’s claims environment, including the relevant criminal and regulatory liability issues. [read post]
10 May 2011, 9:25 am
With regard to liquidity, we have seen a distinct regulatory shift over the past couple of years that has thrown the internet and wholesale funding model into disrepute with the banking agencies, leading to significant pressure on banking institutions using such funding that are unable to transform overnight into retail banks. [read post]
24 Jul 2017, 6:09 am
NERA-defined Investor Losses, a proxy for filed case size, reached a record $468 billion in 2016, 44% of which arose from securities cases claiming damages due to regulatory violations. [read post]
27 Dec 2011, 4:23 am
We faced several challenges in terms of EEO compliance, employment practices litigation and regulatory compliance. [read post]
11 Nov 2011, 12:00 am
Australian lawmakers approved a “pay-to-pollute” tax on the country's largest carbon emitters.The United States Supreme Court heard oral arguments on federal preemption of state law in cases involving meat inspection and rail safety regulation. [read post]
