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27 Oct 2014, 5:30 pm
Regulatory Cost Collaboration By ALL! [read post]
4 May 2022, 7:56 am
Other details of the filing process are noted in the Public Notice, so be sure to review it before filing any of these applications after the May 17 effective date. [read post]
10 Feb 2022, 10:06 am
ESMA has reviewed whether or not the conditions for including derivatives in the DTO still apply with regard to the aforementioned instruments and concludes that the DTO should no longer apply with regard to IRS denominated in USD and GBP based on the LIBOR benchmark. [read post]
17 Jul 2012, 11:36 pm
As the review of a potential hire’s Internet activity has become more pervasive, the legal liability of “googling,” or not, creates due diligence conflicts that may have to be addressed by state legislatures. [read post]
25 Jul 2024, 5:01 am
Background The FCA consulted in December 2023 on establishing an access to cash regulatory regime, which would require banks and building societies designated by the Government to assess and fill gaps, or potential gaps, in access to cash. [read post]
11 Dec 2014, 1:45 pm
Although the CFTC does not conduct independent testing of its cybersecurity requirements, it reviews evidence provided for satisfaction of the requirements. [read post]
11 Jun 2012, 7:00 am
The Federal Energy Regulatory Commission ("FERC") recently issued an order claiming jurisdiction over certain transactions involving Renewable Energy Credits ("RECs"). [read post]
12 May 2021, 7:05 am
Two non-profit pilot programs won approval this week under Utah’s regulatory sandbox to provide non-lawyer legal assistance to individuals with medical debt. [read post]
30 May 2007, 10:26 am
Other participants provided examples of these violations, including "selling away" clients' loans, unauthorized trading, forging signatures, not processing checks upon receipt, and not sending correspondence to clients through compliance officers first for review. [read post]
13 Nov 2015, 3:08 pm
The court rejected Carroll Knight’s claims that Michigan law should apply and it refused to review extrinsic evidence because the plain language of the agreement was clear. [read post]
21 Oct 2022, 7:15 am
The purported scheme ended in or about April 2018 when Raymond James flagged and reviewed an unusually large order for one of the customers. [read post]
24 Sep 2011, 12:06 pm
The staff is also observing COSO’s project to review and update its internal control framework, which is the most common framework used by management and auditors alike in performing assessments of internal control over financial reporting. [read post]
20 Mar 2012, 5:37 pm
It would be for the European Parliament and the Council to decide, in the context of the current review of MiFID, whether, similarly to banks, CSDs should be exempted from certain rules of MiFID. [read post]
14 Feb 2008, 8:04 am
The five federal financial regulatory agencies have jointly issued final regulations implementing Section 214 of the Fair and Accurate Credit Transactions Act (FACTA), which amends the Fair Credit Reporting Act (FCRA). [read post]
15 Jan 2010, 7:39 am
An increase in fraudulent private placement offerings has state regulators pushing for tougher regulatory reforms that will give them more control and oversight of private placement issuers. [read post]
5 Sep 2010, 12:44 pm
The investigations involve sampling, records review and looking for potential sources of contamination, such as feed. [read post]
2 Oct 2015, 12:36 pm
It should go without saying given the Texas Medical Board’s recent aggressive regulatory stance on the treatment of chronic pain, Texas physicians involved in the practice of testosterone and hormone replacement therapy should be made aware of a discussion by the Board at a recent Board meeting regarding a U.S. [read post]
16 Jul 2018, 6:21 am
On 13 July 2018, the European Commission adopted ten Delegated Regulations setting out regulatory technical standards (RTS) under the Benchmarks Regulation (BMR): Commission Delegated Regulation (EU) supplementing the BMR with regard to RTS specifying further the contents of, and cases where updates are required to, the benchmark statement to be published by the administrator of a benchmark; Commission Delegated Regulation (EU) supplementing the BMR with regard to RTS specifying further the… [read post]
19 Aug 2015, 5:30 pm
Over on LXBN, Zosha writes on the bizarre regulatory process around e-cigarettes. [read post]
25 Sep 2008, 7:50 pm
Filice, who would reviewed the forms, and, if he found no health conditions that would preclude him from prescribing the drug, he would write a prescription for the drug, which the Pill Box would fill. [read post]
