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15 Feb 2019, 3:20 pm
See FINRA Regulatory Notice 19-04 (Jan. 28, 2019). [read post]
8 May 2022, 5:30 am
Review the full Public Notice for additional information and filing procedures. [read post]
8 Nov 2015, 4:50 pm
The question whether concerns about climate change-related disclosures might lead to regulatory enforcement actions or even liability claims has been around for some time, but though the concerns have remained, the regulatory actions and liability claims have not really materialized. [read post]
2 Mar 2023, 12:59 pm
Conclusion A few years ago, I reviewed Gregory Werden’s The Foundations of Antitrust. [read post]
24 Mar 2022, 12:44 pm
They can also assist with review of information on behalf of legal departments conducting internal investigations and ensuring their companies are meeting regulatory requirements (such as Know Your Customer (KYC) rules). [read post]
30 Nov 2022, 10:17 pm
We also offer competition and regulatory law compliance, education and policy services to companies, trade and professional associations and government agencies. [read post]
31 Mar 2014, 12:21 pm
In a continuation of the Obama Administration’s amped up regulatory enforcement agenda, OSHA recently announced its intention to target auto suppliers. [read post]
11 Mar 2019, 5:00 am
The report follows the Treasury Select Committee’s March 2018 enquiry on the scale of money laundering, terrorist financing and sanctions in the UK, the UK’s regulatory and legislative landscape, and how individuals, firms and the wider economy have been impacted by these regimes and the implementation of them. [read post]
23 Jul 2018, 11:30 am
Regulation ATS, adopted in 1998, established a regulatory framework intended to incentivize market modernization, while simultaneously carrying out the chief mandate of the SEC: protecting investors. [read post]
20 Jan 2015, 10:02 pm
The current review was in response to higher demand for the ministry’s services, Bolger noted. [read post]
9 Aug 2015, 2:56 pm
The settlements included allegations that both firms had weak supervisory systems after FINRA examination teams reviewed the firms in 2011, but neither took necessary steps to correct the supervisory gaps. [read post]
3 Mar 2015, 7:38 am
In addition, FINRA alleged that Olson was the only appropriately registered principal responsible for reviewing and approving options transactions. [read post]
14 Sep 2015, 6:19 am
FINRA found that Rainmaker Securities supervisory procedures also had certain minimum due diligence guidelines that required the firm to: (i) question or assess the reasonableness of any assumptions underlying the issuer’s projections; (ii) review the issuer’s material agreements; (iii) inquire about the existence and status of any litigation involving the issuer; and (iv) review any public filings regarding the issuer. [read post]
21 Jan 2015, 2:00 pm
With regard to the CFPB in particular, the Committee intends to oversee the CFPB’s regulatory, supervisory, enforcement and other activities, the effect of such activities on regulated entities and consumers, and the CFPB’s collaboration with other regulators. [read post]
1 May 2017, 1:49 pm
Department of Interior (Indian Gaming Regulatory Act – Tribal-State Compacts)Fletcher v. [read post]
22 Jun 2017, 11:39 am
FINRA Fines Broker Dealer Ladenberg Thalman & Co. for Data Compliance Issues According to the Financial Industry Regulatory Authority, Ladenburg Thalmann & Co. [read post]
19 Oct 2021, 11:47 am
Consilio has extensive experience in litigation, HSR second requests, internal and regulatory investigations, eDiscovery, document review, information governance, compliance risk assessments, cybersecurity, law department management, contracts management, legal analytics, paper discovery and digital printing, as well as legal recruiting and placement. [read post]
1 May 2022, 6:22 am
Media Bureau Chief Holly Sauer urged broadcasters to respond to FCC inquiries about Biennial Ownership Reports, as the FCC staff has been reviewing the reports filed at the end of last year and identifying corrections that are necessary, and it wants to complete that review shortly. [read post]
15 Nov 2020, 8:05 am
Here are some of the regulatory developments of the last week of significance to broadcasters, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
12 Jul 2020, 8:49 am
Here are some of the regulatory and legal actions of the last week of significance to broadcasters, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
