Search for: "Financial Industry Regulatory Authority"
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20 Feb 2017, 8:29 pm
“Regulations” for purposes of the memorandum include guidance documents and any other statements “that set[] forth a policy on a statutory, regulatory, or technical issue or an interpretation of a statutory or regulatory issue. [read post]
8 Mar 2024, 5:13 am
" Industry News – Sustainable Development Beat The SEC’s Climate Disclosure Update: A Compromise Amidst Global Scrutiny ComplexDiscovery Staff Amidst the recent whirlwind of regulatory changes in climate disclosure, the U.S. [read post]
31 Jan 2007, 8:44 pm
In a telephone interview, Wal-Mart Financial Services President Jane Thompson said the retailer has no plans to drop its bid for an industrial bank. [read post]
19 Feb 2013, 10:50 am
Her insights on HIPAA risk management and compliance frequently appear in medical privacy related publications of a broad range of health care, health plan and other industry publications Among others, she has conducted privacy training for the Association of State & Territorial Health Plans (ASTHO), the Los Angeles Health Department, the American Bar Association, the Health Care Compliance Association, a multitude of health industry, health plan, insurance and… [read post]
18 Aug 2023, 1:09 pm
But recent regulatory initiatives have much more than that in mind. [read post]
14 Aug 2019, 6:00 am
Financial statements: Now under the purview of NI 81-106, alternative mutual funds must include in their interim financial reports and annual financial statements disclosure related to their actual use of leverage over the reference period of the financial statements. [read post]
13 Oct 2023, 2:01 pm
About the Author Alejandro E. [read post]
14 Jan 2021, 8:59 am
This was an attempt to provide for distributional equity among nations —recognizing that the industrialized countries were responsible for the lion’s share of accumulated greenhouse gases in the atmosphere, and by virtue of their wealth were more capable of taking action. [read post]
3 Mar 2023, 2:51 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
3 Mar 2023, 4:04 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
15 Sep 2015, 5:52 am
That OCR says so, upon pain of denying federal funding, without having employed the regulatory procedures needed to obtain the authority, seems to have flown over everyone’s head. [read post]
7 Mar 2023, 9:01 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
16 Jul 2019, 10:18 am
Typically the second quarter is quieter than the first quarter from a compliance perspective, however we continue to see meaningful enforcement actions taken by regulatory authorities and rapid developments in the digital asset space. [read post]
27 Mar 2008, 5:55 pm
Benefits Biz Blog Authored by Baker & Daniels' benefits & executive compensation team, the Benefits Biz Blog covers financial matters. [read post]
17 Jan 2023, 3:00 am
Therefore, private litigation is needed to serve a regulatory function as well. [read post]
6 Jan 2014, 8:30 pm
Corporate autonomy is central to a business planning model in which assets and operations may be insulated from regulatory agencies whose power can extend no father than their territorial borders or to the global operations of entities over which they may assert regulatory authority. [read post]
30 Jan 2017, 6:00 am
Public sector infrastructure, the way we read it, would cover public infrastructure like the Tennessee Valley Authority. [read post]
22 Mar 2021, 8:20 am
Lyons was barred indefinitely in all capacities by the Financial industry Regulatory Authority (FINRA) in June 2018. [read post]
3 Feb 2023, 7:42 am
The Financial Industry Regulatory Authority (FINRA) barred Clay in March 2020, after he reportedly failed to provide information in FINRA’s investigation. [read post]
17 May 2022, 5:54 am
This is the kind of attack the authorities want to keep a better eye on with their incident reporting provisions. [read post]
