Search for: "The Regulatory Review"
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12 Sep 2022, 12:23 pm
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]
3 Dec 2016, 11:30 am
(Raymond James) after the firm stated that it lost confidence in Crook after an internal review into a client compliant lead the firm to believe that Crook did not provide plausible explanations to the investigation. [read post]
9 Dec 2024, 7:48 am
Regulatory rollbacks. [read post]
12 Mar 2024, 12:27 am
Below, we review some of the systemic issues that contribute to sexual abuse among healthcare professionals here in Illinois: Lack of Oversight The state of Illinois struggles with a glaring oversight problem. [read post]
21 Mar 2024, 8:17 am
Investors 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]
4 Jun 2009, 1:34 pm
" This new FDA task force, which will be chaired by Principal Deputy Commissioner Sharfstein, consists of FDA center directors as well as the associate commissioner for regulatory affairs, chief scientist, and the chief counsel at the agency. [read post]
26 Jul 2022, 7:22 pm
Users can receive updated bills at the state level within 5-7 days and federal bills once the board reviews them. [read post]
10 Jul 2012, 1:22 am
If notice is given, an immediate supervisory review of the firm's internal model will follow. [read post]
14 Aug 2020, 12:43 pm
A recent enforcement action offers a glimpse of the Financial Industry Regulatory Authority’s (“FINRA”) expectations for firms conducting anti-money laundering (“AML”) due diligence and transaction monitoring. [read post]
3 May 2019, 2:05 pm
In August, the firm announced that it was suspending the sale of its private placements to conduct an accounting review. [read post]
30 Aug 2024, 7:20 am
Register today for the ABA Section of Administrative Law & Regulatory Practice’s annual Virtual Live Fall CLE Conference on Thursday, November 7, and Friday, November 8, 2024. [read post]
19 Nov 2018, 8:13 am
Initiated in 2012, Operation Choke Point targeted banks serving online payday lenders and other companies that have raised regulatory or “reputational” concerns. [read post]
9 Dec 2018, 9:05 pm
Contributed My name is Scott Loughan and I am a Compliance Officer in the Food and Drug Administration’s Office of Regulatory Affairs. [read post]
23 Feb 2019, 2:38 pm
In addition, Stephens has three customer complaints, one termination, and one additional regulatory complaint. [read post]
27 Jun 2021, 8:23 am
Review the list to make sure that any earth station that you operate is included and that all of the details of its operations are correct. [read post]
16 May 2011, 6:25 am
The FTC, which will review comments related to definitions in the proposal, seems to be receptive to different rules for different ages. [read post]
7 Aug 2024, 8:43 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]
18 Aug 2011, 12:49 pm
Government anti-counterfeiting working group" comprising fourteen government agencies which have been tasked to provide legislative, regulatory and policy recommendations to address this problem. [read post]
4 Apr 2022, 12:10 pm
Companies subject to SAB 121 should review the full text of the guidance and consult with their accountants as they prepare their upcoming financials statements. [read post]
26 Aug 2019, 3:10 pm
On August 13, 2019, the Federal Energy Regulatory Commission (FERC) approved a request by Midcontinent Independent System Operator, Inc. [read post]
