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29 Nov 2023, 8:59 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
29 Nov 2023, 7:29 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
29 Nov 2023, 6:04 am
This means that members of a team who are not registered representatives can only select the “Review and edit” option in the “Review and lodge” task (…). [read post]
29 Nov 2023, 5:00 am
Inter partes review is not unique. [read post]
29 Nov 2023, 3:31 am
If a firm discovers that it has been misreporting to the FCA the true value of its eligible regulatory capital, it should consider if it has a need to notify the regulator of this under Principle 11 of the Principles for Business. [read post]
28 Nov 2023, 9:30 pm
– Monitor Regulatory Developments. [read post]
28 Nov 2023, 9:00 pm
Condemning the laissez-faire attitude of policymakers for enabling food companies to implement “seductive and deceptive” marketing strategies targeting the most vulnerable class of consumers, Ertz and Le Bouhart ultimately champion comprehensive regulation to protect children.The post Regulating Junk Food Marketing first appeared on The Regulatory Review. [read post]
28 Nov 2023, 12:47 pm
Justine set out the key legal risks AI poses to organizations and described the evolving regulatory environment, including comparing regulatory approaches among jurisdictions such as Canada, the US, and the UK. [read post]
28 Nov 2023, 10:19 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
28 Nov 2023, 10:00 am
FinCEN Guidance for Cryptocurrency Firms Review FinCEN published guidance on cryptocurrency and understand the regulatory AML guidelines for digital asset transmission. [read post]
28 Nov 2023, 7:58 am
Epiq offers services in litigation, transactions, regulatory compliance, intellectual property, legal spend optimization, and analytics. [read post]
28 Nov 2023, 6:22 am
These are Regulatory Affairs Specialists. [read post]
28 Nov 2023, 3:48 am
The PRA highlights that such internal models should be continually reviewed to ensure they remain appropriate to accurately calculate a counterparty SCR for funded reinsurance. [read post]
28 Nov 2023, 3:39 am
Reviewing if regulators and their responsibilities cover AI risks properly (essentially a gap analysis). [read post]
28 Nov 2023, 3:00 am
During its 89 years of existence, the SEC has operated under a 3-part mission that many of us have committed to heart: – Protect investors – Maintain fair, orderly, and efficient markets – Facilitate capital formation A bill that’s in its early stages in Congress is looking to “modernize” that mission by expressly adding the word “innovation” to 15 USC 77b and 15 USC 77c (and the corresponding provisions under the Investment Company Act), so that they… [read post]
27 Nov 2023, 9:05 pm
first appeared on The Regulatory Review. [read post]
27 Nov 2023, 9:01 pm
The order did not require an independent compliance consultant to review the company’s controls. [read post]
27 Nov 2023, 3:16 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
27 Nov 2023, 1:34 pm
Regulatory Compliance: Comply with state and federal regulations regarding business transfers, including obtaining necessary approvals from regulatory agencies if required. [read post]
27 Nov 2023, 12:37 pm
FTC, which held that regulated parties can seek interlocutory review in a federal district court of structural separation-of-powers challenges to agency adjudication and need not wait until a final agency action can be reviewed in a federal court of appeals. [read post]
