Search for: "The Regulatory Review Staff"
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8 Mar 2012, 12:11 pm
" With respect to the issue of preventing regulatory bottlenecks, Ms. [read post]
24 May 2020, 9:00 am
Here are some of the FCC regulatory and legal actions of the last week of significance to broadcasters, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
16 Jul 2019, 3:05 am
LIBOR is going away in 2021 – and the SEC Staff is reiterating that companies should prepare – and adequately disclose the associated risks. [read post]
12 Apr 2013, 1:13 pm
Nuclear Regulatory Commission (NRC) staff; Department of Energy staff; and the Government Accountability Office (GAO). [read post]
28 Aug 2012, 4:52 pm
Overlooked Claims of Self-Regulatory ComplianceMany companies promote on their website their affiliation with self-regulatory programs. [read post]
28 Aug 2012, 4:52 pm
Overlooked Claims of Self-Regulatory ComplianceMany companies promote on their website their affiliation with self-regulatory programs. [read post]
5 Jun 2025, 12:56 pm
Finally, practices should invest in ongoing training for staff in matters such as patient care, safety protocols, and regulatory compliance. [read post]
21 Apr 2020, 9:57 am
Also, to the extent the broker-dealer remediated any non-compliance with Reg BI, the staff may review documentation around such issues. [read post]
25 Apr 2017, 3:21 pm
Accordingly, a timely and appropriate review is likely to help mitigate other risks and liabilities such as: Fiduciary liability that can arising from failing to administer the plan in accordance with these and other federal health plan mandates under ERISA; Unanticipated benefit costs and liabilities, which for self-insured plans are likely to be particularly burdensome if compliance issues are not identified and corrected before applicable deadlines to pay and submit claims to… [read post]
19 Apr 2023, 8:22 am
The Plan sets out in detail a number of new programmes, regulatory bodies and task forces which the Government intends to implement in order to achieve the key outcomes, including (a) the new Anti-Money Laundering and Asset Recovery Programme, which will be created to build capacity across the UK’s regulatory framework in hopes of increasing information sharing and investigative capabilities; (b) the establishment of the National Crime Agency (NCA) Combating Kleptocracy Cell… [read post]
27 Dec 2019, 6:51 am
As a result, the Division decided that the portal will be the sole filing mechanism for a number of filings reviewed by the Division beginning in the new year. [read post]
27 Sep 2016, 4:22 am
Judicial Reviews have a timetable which must be adhered to. [read post]
24 Jan 2014, 11:54 am
Many of these services permit remote access, thereby allowing lawyers and staff to work from anywhere with full access to all documents and information for a matter. [read post]
24 Oct 2024, 5:23 pm
In REP 795, ASIC shared key observations about, and recommendations for: selection and supervision of distributors; training staff; marketing and promotional materials; use of questionnaires; and use of information and monitoring outcomes. [read post]
23 Jul 2023, 9:05 pm
However, we do not know whether the SEC staff also considers other publicly available information when conducting reviews. [read post]
6 Dec 2011, 9:07 am
., has been fined and suspended by the Financial Industry Regulatory Authority, or FINRA, for her failure to supervise a sales assistant who misappropriated almost $750,000 from customers. [read post]
8 May 2018, 3:25 pm
Among other things, the principal sponsor had stated that the types of documents covered by the CRA include “statements of general policy, interpretations of general applicability, and administrative staff manuals and instructions to staff that affect a member of the public. [read post]
24 Apr 2022, 9:12 am
Here are some of the regulatory developments of significance to broadcasters from the last week, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
8 Nov 2016, 12:22 pm
Financial institutions and MSBs should circulate and carefully review this new Advisory with their cybersecurity teams, IT personnel, risk departments, fraud prevention departments, compliance staff, and BSA/Anti-Money Laundering teams. [read post]
20 Mar 2025, 4:33 am
As the market evolves under the influence of AI, regulatory shifts, and economic pressures, this report serves as a vital resource for professionals preparing for the next stage of eDiscovery’s transformation. [read post]
