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8 Jul 2014, 11:51 am
The proposed change is one of a series of regulatory changes that the Obama Administration has proposed or adopted since the Windsor decision. [read post]
9 Jun 2016, 10:01 am
The auditors will issue another report at the conclusion of the review, but the alert did not indicate when that would be. [read post]
22 Feb 2019, 12:04 pm
Review of applications begins on March 11, 2019. [read post]
25 Nov 2022, 2:37 pm
Staff Attorney – Public Service Division. [read post]
17 Jan 2011, 4:09 pm
As part of these reviews, DCIO staff has recently communicated to NFA by letter dated December 2, 2010 its position as to the disclosure of conflicts of interests that arise from typical incentive fee arrangements. [read post]
20 May 2025, 9:01 pm
That lack of regulatory framework also invites fraud. [read post]
3 Jun 2025, 9:01 pm
That lack of regulatory framework also invites fraud. [read post]
12 Nov 2015, 6:43 pm
To help fill this open gap, the FTC recently released its own views on the matter: FTC Staff Guidance on Active Supervision of State Regulatory Boards Controlled by Market Participants. [read post]
12 Nov 2015, 6:43 pm
To help fill this open gap, the FTC recently released its own views on the matter: FTC Staff Guidance on Active Supervision of State Regulatory Boards Controlled by Market Participants. [read post]
12 Nov 2015, 6:43 pm
To help fill this open gap, the FTC recently released its own views on the matter: FTC Staff Guidance on Active Supervision of State Regulatory Boards Controlled by Market Participants. [read post]
29 Jan 2011, 6:02 pm
"Thus the New Zealand inspectorate appears significantly under resourced with respect to regulatory review, monitoring, inspection and enforcement," according to reviewers Atkins Holm Joseph Majurey and international consultancy Environmental Resource Management. [read post]
29 Mar 2021, 11:20 am
As of February 1, 2021, the Bureau sent approximately 84% (456,100) of the 542,300 complaints to approximately 3,300 companies for review and response, referred 9% to other regulatory agencies, and found 7% to be incomplete. [read post]
15 Jan 2008, 2:15 am
In practice, he said, the UK audit inspection unit led the inspection, reviewed the audit firm policies and procedures and performed in-depth reviews of audit files of major clients. [read post]
28 Jan 2014, 3:39 am
His thoughts seem to be: - Do disclosure reform in pieces rather than try to overhaul it all at once - Eliminate non-material disclosure requirements - Reduce # of Form 8-K triggering events - Reduce redundancy by providing guidance when disclosure is not needed - Streamline proxies & registration statements with more incorporation by reference - More data tagging like XBRL - Use of core filing for one-time disclosures - Only provide significant interpretive guidance from Commission… [read post]
24 Sep 2024, 9:05 pm
In January 2023, the FDA announced it would develop a reorganization proposal to create a unified Human Foods Program and restructure its field operations (Office of Regulatory Affairs) after carefully reviewing the findings and recommendations of the Reagan-Udall Foundation evaluation an internal review of the agency’s infant formula response and feedback from external and internal stakeholders. [read post]
29 Jan 2011, 6:02 pm
"Thus the New Zealand inspectorate appears significantly under resourced with respect to regulatory review, monitoring, inspection and enforcement," according to reviewers Atkins Holm Joseph Majurey and international consultancy Environmental Resource Management. [read post]
2 Dec 2011, 9:33 am
The report should also contain a detailed account of how the CFTC coordinated with the Chicago Mercantile Exchange, the designated self-regulatory organization for MF Global, in overseeing the firm’s customer segregated funds. [read post]
22 Apr 2025, 9:05 pm
”[18] But if a de-SPAC is not completed within the completion window, then the IPO proceeds are returned to investors, and the sponsors’ promote is worth nothing.[19] In 2020 and 2021, the popularity of SPACs exploded, raising over $250 billion in capital[20] and completing some of the largest acquisitions during those years, including Altimeter Growth Corporation’s merger with Grab Holdings, Southeast Asia’s largest food delivery app,[21] and Soaring Eagle Acquisition… [read post]
22 Sep 2011, 3:05 am
" Are there other areas where an issuer's demands could lead to regulatory problems for their underwriters? [read post]
6 Dec 2023, 2:30 pm
Senate’s Committee on Homeland Security and Governmental Affair’s Staff Report on the art market and U.S. sanctions). [read post]
