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21 Dec 2007, 12:31 am
TORRANCE, CA -- 12/19/07 -- LiveOffice AdvisorMail, a leading provider of hosted messaging, archiving, security and compliance solutions in the financial services industry, today announced that its email archiving solution is already helping independent broker-dealers meet recently issued guidance from the Financial Industry Regulatory Authority (FINRA) on the proper review and supervision of electronic communications (Regulatory Notice 07-59). [read post]
26 Mar 2024, 5:27 pm
Ensure regulatory compliance Whether it involves obtaining necessary approvals or filing required documentation, ensuring legal and regulatory compliance is non-negotiable. [read post]
30 Jan 2019, 7:22 am
From one perspective, the Supreme Court’s decision to grant review in Kisor v. [read post]
19 Oct 2020, 12:14 pm
Urging review, UNOCAL claimed that the decision at issue is likely to have a sweeping impact on pending and future Act 312 cases. [read post]
19 Jan 2011, 1:12 pm
The Panel was formed to review the statutory and regulatory barriers to the use of carbon capture and storage (“CCS”) as a strategy to combat climate change. [read post]
18 Sep 2018, 7:35 am
This issue includes coverage of the following: Europe UK and European Overview UK withholding tax: whether interest arises in the UK PRIIPS – 9 months on Brexit: the UK Government ”no deal” guidance notices Brexit: the UK’s temporary permissions regime Brexit: the UK’s White Paper on the future EU/UK relationship Ireland update Luxembourg update Asset Management Regulation knowledge hub EU/UK Regulatory Roundup Brexit regulatory update Asia SFC… [read post]
6 Nov 2009, 8:43 am
The OSC will review the proposals and market participants will be afforded 30 days to provide feedback. [read post]
1 Feb 2011, 5:26 am
Hall (Wake Forest University - School of Law) has posted Commerce Clause Challenges to Health Care Reform (University of Pennsylvania Law Review, Vol. 159, June 2011) on SSRN. [read post]
20 Jan 2016, 12:28 pm
Burris worked as a broker for JPMorgan’s office in Sun City West, Arizona as a top producing broker and earned glowing performance reviews, at least for his first few years of employment there. [read post]
11 Jan 2022, 5:59 am
If the insurer fails to reverse the denial, the claimant can appeal to the Nevada insurance regulatory agency. [read post]
18 May 2023, 5:11 am
But the reference to curators and aggregators suggests that it is thinking bigger, focused on aggregation services, review sites, and the many other intermediaries that often drive traffic to particular content. [read post]
4 Mar 2022, 12:11 pm
We have deep experience conducting internal reviews and investigations, audits, and responses to government inquiries on behalf of educational institutions. [read post]
8 Nov 2016, 11:43 am
These two issues have impeded progress in serving LEP consumers because the lack of regulatory guidance has caused many financial institutions to avoid acting in this area altogether, out of fear of the potential regulatory consequences. [read post]
29 May 2018, 5:12 am
The Government Accountability Office (GAO) is required to conduct a study and issue a report on consumer reporting agencies, to include a review of: (i) the current legal and regulatory structure of these agencies and whether there are any gaps in regulation or supervision, (ii) the error resolution process and (iii) the security of consumer data maintained by the agencies. [read post]
10 Jan 2014, 12:19 pm
Concerns about privacy practices in the data broker industry, and the privacy implications about the lack of transparency “behind-the-scenes,” will remain a topic of intense regulatory and legislative focus in 2014. [read post]
19 Apr 2023, 8:22 am
Companies should review their fraud risk assessments and take steps to evaluate whether they have adequate anti-fraud policies and procedures in place which will allow them to be in compliance with the new proposed failure to prevent fraud offence. [read post]
16 Aug 2017, 7:05 am
”) The Fed states that the proposal was “informed by a multi-year review by the Federal Reserve of practices of boards of directors, particularly at the largest banking organizations,” but it also seems consistent with the Administration’s desire to bring about regulatory reform and reduce regulatory burden on the financial industry. [read post]
28 Oct 2011, 3:20 pm
As described in the order, FINRA failed to keep and furnish complete and accurate records, which are essential to its self-regulatory activity. [read post]
16 Aug 2017, 7:05 am
”) The Fed states that the proposal was “informed by a multi-year review by the Federal Reserve of practices of boards of directors, particularly at the largest banking organizations,” but it also seems consistent with the Administration’s desire to bring about regulatory reform and reduce regulatory burden on the financial industry. [read post]
Anti-money Laundering — Evolving UK Landscape, Opinions on US Law Firm AML Rules, Ethics & Standards
8 Jun 2023, 7:02 am
” “With increasing focus on customer due diligence and verification of ultimate beneficial owners, due to the legislation described below, it is likely that firms will need to conduct a lookback review of customer due diligence files and take appropriate action. [read post]
