Search for: "The Regulatory Review Staff"
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11 Jul 2014, 3:59 pm
Jeffrey Sprecher, ICE CEO, ( and in November of last year, ICE completed its acquisition of NYSE Euronext), testified that, while Regulation NMS sought to increase competition among markets and consequently increased fragmentation, the costs associated with maintaining access to each venue, retaining technologists and regulatory staff, and developing increasingly sophisticated risk controls are passed on to investors and result in unnecessary systemic risk. [read post]
7 Mar 2022, 10:43 am
” L2 Services – An ETRM Group Company will continue to operate with the same staff and locations and now can offer clients expanded services such as cybersecurity, information governance, and risk management. [read post]
7 May 2024, 1:06 pm
Read All Reviews The Importance of Compliance and Safety Compliance with regulatory standards lies at the heart of ensuring safety and efficiency in both interstate and intrastate trucking operations. [read post]
28 Jun 2020, 9:05 pm
The Regulatory Review invited leading scholars and selected ACUS staff members who were involved in developing these five recommendations to discuss how their adoption by federal agencies would improve administrative government. [read post]
22 May 2013, 9:30 pm
The proposed rule seeks to bring large nonbank loan servicers into compliance with existing regulatory standards previously applicable only to banks, creating a uniform regulatory landscape to protect borrowers. [read post]
9 Oct 2009, 6:55 am
The staff was courteous and proficient. [read post]
17 Jan 2017, 7:48 am
Similarly, in response to the 2006 deficiency, Moloney agreed to establish a Best Execution Committee that would meet periodically to review best execution of the firm. [read post]
17 Jan 2017, 7:48 am
Similarly, in response to the 2006 deficiency, Moloney agreed to establish a Best Execution Committee that would meet periodically to review best execution of the firm. [read post]
17 Mar 2025, 9:01 pm
Thus, I jumped at the opportunity to join the staff in 2006. [read post]
20 Oct 2020, 5:17 am
Christopher Fernan Has Been Sanctioned by FINRA for Failure to Appear For On-The-Record Testimony On September 9, 2020, FINRA staff sent a request to Christopher Anthony Fernan for on-the-record testimony in connection to a review of a customer complaint disclosed by his former employer, Salomon Whitney Financial, according to publicly released documents by FINRA. [read post]
20 Oct 2020, 5:17 am
Christopher Fernan Has Been Sanctioned by FINRA for Failure to Appear For On-The-Record Testimony On September 9, 2020, FINRA staff sent a request to Christopher Anthony Fernan for on-the-record testimony in connection to a review of a customer complaint disclosed by his former employer, Salomon Whitney Financial, according to publicly released documents by FINRA. [read post]
3 Oct 2008, 4:29 am
Reviewing this article, different from a earlier one I posted, I noticed something about this decision. [read post]
11 Mar 2019, 9:03 pm
Findings from the review were published in October 2018. [read post]
19 Dec 2011, 3:23 am
" Reviews must be undertaken within ten years of a rule being adopted. [read post]
10 Aug 2019, 10:54 am
It is unlikely that local planning staff will attend. [read post]
31 Oct 2010, 12:34 pm
The amendments streamline the permit process by delegating positive permit decisions to conservation authority staff. [read post]
16 May 2024, 8:11 am
Processes for monitoring and reviewing new products, services or delivery channels for compliance with applicable regulatory requirements, including, as appropriate, those related to consumer protection, data protection and anti-money laundering/countering the financing of terrorism. [read post]
24 Jan 2025, 7:05 am
The FCA will use a combination of regulatory reporting data analysis, proactive outreach, and incisive testing to assess and mitigate risks of harm. [read post]
16 Oct 2017, 3:03 am
Possibly members of Congress (or their staff) if it’s a politically-sensitive topic You think its tough getting your proxy through an internal review? [read post]
15 Jun 2009, 12:32 pm
But if you want to browse, these are my notes: Gary started the presentation by noting there is a change in regulatory focus and likely to be a new regulatory framework. [read post]
