Search for: "The Regulatory Review"
Results 8321 - 8340
of 28,254
Sorted by Relevance
|
Sort by Date
23 Feb 2017, 1:28 pm
I also offer competition and regulatory law compliance, education and policy services to companies, trade and professional associations and government agencies. [read post]
7 Sep 2010, 4:55 am
If appointed as Director, the position will independently lead complex reviews and investigations and will be the primary backup to the Ombudsperson. [read post]
6 Dec 2013, 1:21 am
As the IPKat announced, yesterday the EU Commission launched a Public Consultation on the Review of EU Copyright Rules.The stated objective of this consultation is to see how to ensure that "the EU copyright regulatory framework stays fit for purpose [this is one of those terms of phrase which are consistently and - quite frankly - unoriginally employed in copyright reform debates these days] everywhere in the digital environment to… [read post]
2 Aug 2012, 9:26 am
Beth Garrett has posted this draft on SSRN (forthcoming, Minnesota Law Review). [read post]
14 Jan 2011, 3:58 am
California has postponed final adoption of its green chemistry rules pending further review to address a variety of stakeholder concerns. [read post]
25 Jul 2021, 7:11 am
Here are some of the regulatory developments of significance to broadcasters from the last week, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
10 May 2023, 3:15 am
If a company charges the audit committee with overseeing risk management, the audit committee should schedule time in its agenda for periodic reviews of risk management outside the context of its role in reviewing financial statements and accounting compliance. [read post]
18 Sep 2015, 7:07 am
(“Cape”) was fined $125,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise its personnel, in effect allowing its brokers to recommend unsuitable investments and churn customer accounts. [read post]
9 Dec 2015, 6:22 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2011025610501) against brokerage firm Braymen, Lambert and Noel Securities, Ltd. [read post]
2 Sep 2013, 8:33 am
Cohen was the firm’s Chief Compliance Officer and the principal responsible for the review and approval of institutional sales material. [read post]
19 Feb 2021, 4:58 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded $19 million to a 94-year-old investor based on findings of abuse of fiduciary duty, fraudulent misrepresentations, and elder financial fraud. [read post]
10 Apr 2007, 12:12 pm
Alongside the expense review that Mr. [read post]
30 Dec 2024, 4:16 am
The MEPA Limitation, enacted in 2023, provides that except for narrowly defined exceptions, those environmental reviews “may not include a review of actual or potential impacts beyond Montana’s borders. [read post]
27 Jun 2022, 6:40 am
With the growth of ESG investing has come heightened regulatory scrutiny. [read post]
12 Sep 2022, 7:23 am
WSPs should describe: the specific individual(s) responsible for each review, the supervisory activities such persons will perform, the frequency of the review, and the manner of documentation. [read post]
11 Dec 2014, 5:45 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Cantella & Co., Inc. [read post]
20 Apr 2012, 5:00 am
This site provides helpful information regarding various rules, proposed rules, and public comments on regulatory issues that affect the entire society. [read post]
3 Aug 2012, 7:00 am
The American Bankers Association, in a statement submitted for the record, was critical of the CFPB’s implementation of the SBREFA review process. [read post]
21 Nov 2017, 7:31 am
Different governmental regulatory agencies have jurisdiction when it comes to certain Massachusetts workers’ compensation issues. [read post]
27 Jun 2022, 6:40 am
With the growth of ESG investing has come heightened regulatory scrutiny. [read post]
