Search for: "The Regulatory Review Staff"
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21 Jan 2015, 10:59 am
Petition for review granted. [read post]
26 Feb 2014, 11:15 am
Internal Compliance Matters Annual Compliance Review—RIAs must conduct an annual review of their compliance policies and procedures. [read post]
22 Sep 2021, 7:00 am
Tempro noted that staff guidance about the remediation process is available on the PCAOB website. [read post]
9 Apr 2012, 3:34 am
There was a wave of other activity too - many crowdfunding services began (as will be covered in a future blog) and some regulatory activity as discussed below. [read post]
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]
3 Feb 2009, 7:30 am
People at the company have to draft and review the endorsement, load it onto a system, print copies on paper, stuff the envelopes, pay the postage, pay the staff to answer the questions from policyholders, etc. [read post]
30 Sep 2024, 12:49 pm
You can review the full agenda here. [read post]
20 Jul 2012, 7:39 am
On July 17, the Senate Homeland Security and Government Affairs Committee, Permanent Subcommittee on Investigations, held a hearing to review money laundering and terrorist financing vulnerabilities that can emerge from certain international banking activities. [read post]
10 Oct 2024, 3:21 am
Directors and senior managers of firms have been put on notice to “critically review the areas of concern” and “give priority to strengthening their supervisory and compliance programmes”. [read post]
30 Oct 2008, 5:33 pm
That's precisely what the 2008 change made explicit in the regulation itself, since courts were distorting it, and ignoring regulatory intent. [read post]
23 Nov 2020, 7:54 am
He noted that the staff currently is reviewing RMBS asset-level disclosure requirements, including through discussions with the Federal Housing Finance Agency, with an eye toward facilitating SEC-registered offerings.Proxies. [read post]
10 Jun 2019, 8:38 am
Dedicated anti-money laundering (AML) training is too high level and not tailored enough to inform staff regarding the specific ML risks in capital markets. [read post]
3 May 2012, 3:14 pm
Staff advised Maple and TMX Group that, while the Competition Bureau has an independent mandate and will complete its own review, it has provided views and input to the OSC for its consideration relating to the potential impact of the Maple transaction on competition. [read post]
25 Apr 2023, 9:04 pm
In 2022, an independent review of the U.S. [read post]
24 Mar 2022, 12:44 pm
They can also assist with review of information on behalf of legal departments conducting internal investigations and ensuring their companies are meeting regulatory requirements (such as Know Your Customer (KYC) rules). [read post]
1 Mar 2011, 12:40 pm
Type of Filing Principal Form / Source of Disclosure Requirement Current Issues / Guidance Financial Statements NI 51-102 Continuous Disclosure Obligations for financial years beginning before January 1, 2011 (pre-IFRS) NI 51-102 Continuous Disclosure Obligations for financial years beginning on or after… [read post]
22 Jan 2024, 9:01 pm
Our regulatory regime should have an offering exemption tailored to each of the common capital raising scenarios. [read post]
1 Nov 2010, 2:19 pm
The comment period ended October 18, 2010, and the staff is reviewing the comments submitted. [read post]
19 Jul 2017, 2:44 am
SIFMA Executive Vice President Randy Snook said that while SIFMA supports many of the post-crisis regulatory reform efforts in the area of capital and liquidity, now is the time to review how these rules work together. [read post]
9 May 2024, 6:22 am
This notification is part of the FTC and DOJ Premerger Notification Program, designed to enable a thorough review of proposed transactions for potential antitrust issues. [read post]
