Search for: "The Regulatory Review"
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3 Jul 2012, 7:34 am
Frank Sperduti, a partner at Borden Ladner Gervais LLP who practises expropriation law, reviews significant decisions affecting the law in the area of land compensation claims. [read post]
25 Oct 2023, 2:12 am
The legislative proposal lays out a regulatory framework for the provision of ESG ratings in the EU. [read post]
19 Feb 2017, 8:23 am
The Use of Non-Regulatory Methods for Regulatory Ends -United States v. [read post]
27 Sep 2024, 9:04 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]
21 Jun 2012, 1:33 pm
The filed rate doctrine is a general principle that a suit cannot be brought against an insurance company, or other company that is subject to rate regulation (such as a utility) challenging the appropriateness of rates that were filed with a regulatory agency. [read post]
13 Feb 2023, 7:00 am
Wolters Kluwer Legal & Regulatory, U.S. [read post]
13 Apr 2016, 6:30 am
On February 18, 2016, the Investment Industry Regulatory Organization of Canada (IIROC) released its Compliance Priorities Report. [read post]
23 Aug 2024, 2:12 pm
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]
12 May 2015, 7:09 am
The Financial Industry Regulatory Authority (FINRA) sanctioned three firms, H. [read post]
24 Apr 2009, 4:56 am
I have connected with a few people that I haven't seen in years and had some great conversations about regulatory issues that face our industry. [read post]
28 Mar 2024, 10:36 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
12 May 2014, 1:54 pm
The amendments to the supervision rule will be submitted to the Securities and Exchange Commission for review and approval. [read post]
5 Jan 2021, 9:07 am
Underlying data that is kept confidential does not bar a study from being peer reviewed or replicated. [read post]
10 Oct 2012, 11:43 am
Factors to be reviewed for the “support/dependency” test include financial arrangements, common employees, common benefits and voting or control rights. [read post]
2 May 2008, 10:56 am
In view of this, the fact of the review and the FSA's criticism of current practice should come as no surprise. [read post]
30 Jul 2020, 9:21 am
After Congress overrode the Bureau’s indirect auto finance bulletin in 2018 under the Congressional Review Act, there were statements by the Bureau that suggested an intention to re-evaluate the disparate impact doctrine. [read post]
31 Jul 2023, 9:05 pm
SEC (2023), the court held that statutory agency review procedures do not preclude a collateral challenge to the constitutionality of SEC enforcement proceedings. [read post]
13 May 2019, 9:34 am
“I’ve never seen regulations affecting over 160,000 acres of land go into effect without any environmental review,” said Benjamin M. [read post]
23 Dec 2023, 1:29 pm
Yet, we feel confident that with better digital product testing—along with regulatory oversight—can go a long way in mitigating these dangers. [read post]
7 Jul 2024, 7:49 am
Court of Appeals reviews their petition for review of the FCC’s February Report and Order that reinstated the report. [read post]
