Search for: "The Regulatory Review Staff"
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13 Jul 2023, 9:16 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
9 Sep 2011, 12:00 am
Notwithstanding questions expressed in an agency staff report, a U.S. [read post]
9 Sep 2011, 12:00 am
Notwithstanding questions expressed in an agency staff report, a U.S. [read post]
29 Aug 2022, 7:15 am
It can be used for contract reviews, regulatory responses, and corporate transactions. [read post]
10 Dec 2021, 8:40 pm
Have an integrated remuneration policy for all staff, covering all regulatory requirements. [read post]
26 Sep 2024, 9:05 pm
” The post Week in Review first appeared on The Regulatory Review. [read post]
19 Dec 2024, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
12 Aug 2021, 9:03 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
9 Dec 2022, 3:45 am
As is typical in these sample letters, the Staff describes why it is providing the guidance in the form of the sample letter, and then includes a series of sample comments, presumably drawn from experience with actual filing reviews. [read post]
9 Mar 2023, 11:48 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
22 Aug 2024, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
13 Feb 2025, 9:05 pm
” EDITOR’S CHOICE In an essay in The Regulatory Review, Zachary A. [read post]
9 Oct 2009, 11:15 am
The Ontario Securities Commission (OSC) released a notice today respecting the review by OSC staff of the regulatory requirements for stock exchanges and alternative trading systems and their practices. [read post]
5 Feb 2024, 1:44 pm
Best Practices When Cooperating with Staff Contacting the federal agency likely to review a transaction before submitting an HSR filing is increasingly becoming part of merger review practice. [read post]
4 Mar 2021, 9:03 pm
The spending package will not require districts to make an agreement with teacher’s unions or vaccinate all staff before reopening, but does set aside 10 percent of the state’s vaccine supply for school teachers and staff. [read post]
30 Mar 2021, 12:19 pm
By Anne Sherry, J.D.In a new risk alert, staff of the SEC’s Division of Examinations shared their observations from examinations of broker-dealers and mutual funds regarding their compliance with anti-money-laundering (AML) regulatory requirements. [read post]
3 Oct 2023, 7:56 am
With 90 days to reach a decision, the FCC staff will no doubt be undertaking immediate review of all of the issues on the table in this review. [read post]
22 Oct 2020, 9:05 pm
Department of Health and Human Services (HHS) staff despite objections from CDC scientists. [read post]
12 Oct 2010, 5:51 am
Getting Ready for Your Next Proxy Statement: Staff Comments on Governance Disclosure Over the last few months, we have been so focused on Dodd-Frank Act and its regulatory aftermath, I think that now more than ever we should dedicate some continuing attention to what the Staff has been asking for in issuer disclosures through the review process, particularly given the Staff's general view (notably expressed at last year's Proxy Disclosure… [read post]
19 Aug 2014, 2:05 pm
In its report, the staff notes that, in addition to providing Form PF data to FSOC for use in its systemic-risk-monitoring obligations, the Commission itself uses Form PF information in its regulatory programs and investor-protection efforts. [read post]
