Search for: "The Regulatory Review"
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11 Oct 2011, 9:27 am
“We are confident this matter will be appropriately resolved when it is reviewed by legal authorities in the jurisdictions that the parties agreed to when they executed their trades,” Natalie Marin, a spokeswoman for New York-based Citigroup, said in an e-mail. [read post]
30 Dec 2014, 6:17 am
In addition, FINRA alleged that Lamb would review and approve Debenture sales by Center Street’s registered representatives on occasion. [read post]
14 Nov 2014, 7:28 pm
“When companies have compliance questions, they can search previous Warning Letters for similar circumstances and review the contents of those letters to consider the positions taken by the agency in those situations, and avoid these mistakes. [read post]
24 Apr 2017, 7:59 am
On April 10, 2017, the Financial Industry Regulatory Authority’s (“FINRA”) National Adjudicatory Council (“NAC”) updated FINRA’s Sanction Guidelines. [read post]
13 Sep 2021, 6:35 am
In addition, Couture disclosed two customer complaints, one employment terminations for cause, and two regulatory actions. [read post]
22 Jul 2022, 7:00 am
In that role, Grayson drafted the Division’s complaints and reviewed public records access requests. [read post]
29 Jul 2020, 1:42 pm
In order to determine whether a broker has upheld these responsibilities, a careful review of these due diligence and marketing documents is necessary. [read post]
21 May 2024, 9:06 am
At the same time, in the digital age, with easier access to information, and rumours, and the ability to conduct banking operations instantaneously, regulatory assumptions, in particular with regard to the flight of deposits also needs to be reviewed. [read post]
9 Nov 2009, 7:54 pm
Book Review Monday: Driving Innovation Coming off a recent discussion about the role patents play... [read post]
19 Nov 2022, 8:52 am
The first focuses on traditional regulatory mechanisms ("Conducive and agile regulatory frameworks and enabling business environment, including through structural reform, good regulatory practices and international regulatory cooperation"). [read post]
19 Dec 2019, 9:01 pm
In Chevron, the Court set out a two-step approach for reviewing an administrative agency’s interpretation of statute that it administers. [read post]
8 May 2017, 2:00 am
In some states, there might be a simple DBA or other regulatory requirement by the local medical board. 4. [read post]
6 Feb 2023, 6:35 am
Unlike the recently announced effort to review its Green Guides, the FTC did not seek public comment. [read post]
11 Oct 2017, 11:23 am
(Case review done by attorney Tom Lamb) [read post]
1 Sep 2023, 10:01 am
(Attorney Tom Lamb does all case reviews) [read post]
20 Mar 2020, 9:45 am
(Case review is done by attorney Tom Lamb) [read post]
28 Jun 2023, 8:55 pm
We suggest that this conceptual understanding must be reviewed in view of developing regulatory technologies (RegTech) allowing for a far more pro-active integration of data flows into regulatory processes. [read post]
9 Sep 2015, 2:19 pm
Hopefully, a further regulatory review lowers barriers for taxis and ride-sharing firms alike to compete. [read post]
2 Jul 2013, 9:30 pm
The first proposal is to speed up the regulatory review process. [read post]
16 Oct 2020, 6:41 am
The SEC further found that the CCO not only failed to conduct the monthly compliance reviews required under the program, but also altered monthly review documents that were provided to the SEC in a subsequent examination to give the appearance that the reviews had been conducted during the period covered by the SEC’s examination. [read post]
