Search for: "The Regulatory Review Staff"
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15 Oct 2021, 5:42 am
Investors may not understand VIEs well, and the SEC is trying to elicit better disclosure on that.SEC staff has been issuing several areas of comments about the Chinese regulatory environment and the VIE structure, said Kohl.On the Chinese regulatory environment, the SEC is looking for disclosures around recent government led cybersecurity reviews. [read post]
30 May 2014, 6:44 am
LPL also did not adequately train its supervisory staff to analyze state suitability standards as part of their suitability reviews of alternative investments. [read post]
14 Oct 2008, 11:19 am
The FSA recently noted that a higher level of regulatory intervention was needed with regard to the sale of PPI (see previous blog here). [read post]
10 Feb 2023, 10:00 pm
The cost to the agency is based on theestimated slight increase in staff resources to implement the regulations. 5. [read post]
10 Feb 2023, 10:00 pm
The cost to the agency is based on theestimated slight increase in staff resources to implement the regulations. 5. [read post]
29 Aug 2014, 10:59 am
The IRU staff includes a federal criminal prosecutor and experienced law enforcement agents. [read post]
6 Oct 2020, 9:01 pm
The Food Safety Authority of Ireland (FSAI) has reviewed the main activities of this past year which marked the agency’s 20th anniversary. [read post]
30 May 2017, 5:00 am
In working towards the PCAOB’s goals, the staff will continue to coordinate with SEC enforcement, the Department of Justice, and FINRA, as well as legal and regulatory counterparts around the world, he concluded. [read post]
20 Dec 2021, 11:56 am
The SEC Fines JP Morgan Securities for Regulatory Failures in Connection with Business Communications The U.S. [read post]
4 Jan 2012, 1:46 pm
Access more information about the amended AP1000 design review (click here). [read post]
15 Nov 2010, 1:28 pm
The externs will work with FINRA Ombuds staff in the Spring 2011 semester for 15-20 hours per week. [read post]
16 Feb 2011, 10:08 am
The extern will work with FINRA Ombuds staff in the Summer 2011 semester for 15-20 hours per week.Duties will include a variety of tasks including research, analyses and writing, document review, as well as providing assistance in developing statistical reports, as well as quarterly and annual management reports preparing for investigative testimony and hearings. [read post]
1 Feb 2018, 7:06 am
The staff also should review all changes for fairness, potential discriminatory impacts, and potential undue burdens on market participants.In addition, Healthy Markets urged the SEC to clarify that rule filing requirements apply to all data derived from an exchange’s role in the national market system and marketed to anyone, and that standards for market data filings apply. [read post]
19 Mar 2014, 11:44 am
My thanks to Jenna Mennona, Kelly Rojas, Rebecca Szucs and the editors and staff of the GW International Law Review for their valuable contributions to this article and for an excellent volume. [read post]
3 Sep 2010, 6:41 am
" The session reviewed different sources for rules governing lawyer and law firm behavior (professional rules, case law and, increasingly, government regulation). [read post]
24 Mar 2018, 12:07 am
On March 20, 2018, the Board of Supervisors of the County of Riverside held a Workshop to consider a County-wide regulatory framework for the legalization of cannabis businesses. [read post]
21 Aug 2023, 7:47 am
In this capacity, he oversaw the Office’s Regulatory Division, which is responsible for legal review of all regulatory actions of the Department. [read post]
21 Aug 2023, 7:47 am
In this capacity, he oversaw the Office’s Regulatory Division, which is responsible for legal review of all regulatory actions of the Department. [read post]
28 Jan 2020, 6:00 am
The report on NRSRO examinations, generally encompassing the period between January 1 through December 31, 2018 (the review period), includes a list of the staff’s “essential findings,” which were included with one or more recommendations in an examination summary letter sent to an NRSRO but did not necessarily constitute a “material regulatory deficiency. [read post]
19 Nov 2021, 2:00 am
Policy and regulatory proceedings at the state and federal level are going to directly affect how Utah transitions to a clean energy future, and how long it will take. [read post]
