Search for: "The Regulatory Review Staff"
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11 Nov 2010, 11:22 am
The first step for regulators should be the “corner office,” noted the central banker, and the CEO’s understanding and instructions to other executives and staff regarding the prohibition on proprietary trading and compliance procedures for the new rules should be carefully reviewed. [read post]
18 Feb 2014, 10:57 am
The law allows the Investor Advocate to staff the office, though the SEC sought just six positions for the office in its 2013 budget request. [read post]
18 May 2010, 6:05 pm
Commission staff use Google Finance, Yahoo! [read post]
7 Jun 2018, 9:08 am
As it states in its FAQs for COPPA, the Commission staff has been interested in promoting “strong, more flexible, protections” for teens. [read post]
11 Apr 2013, 11:45 am
Although Comwave decided to end its telemarketing practices, if it does recommence telemarketing in the future, it has agreed to take a number of steps, including: review its compliance programs (and appointing a compliance officer to ensure compliance with the DNCL); implement training and education programs for staff; and provide an annual report to the CRTC documenting consumer complaints and steps taken to resolve them. [read post]
19 Aug 2014, 7:18 am
It will remain in draft form for approximately 120 days pending final review and implementation, taking effect on or around December 15, 2014. [read post]
31 Jul 2012, 1:45 pm
However, today Sutherland Asbill & Brennan LLP today announced the results of its 2012 Sutherland SEC/FINRA Litigation Study – an annual review of the litigated cases brought by the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) against broker-dealers and associated persons. [read post]
1 Oct 2024, 6:00 am
We can review them for completeness and accuracy to make sure all of the necessary requirements are met. [read post]
12 Jun 2010, 1:00 pm
He also urges eliminating the semi-official status of the big three bond-rating agencies, paring back their conflicts of interest, and beefing up the beleaguered corps of civil servants who staff federal regulatory agencies. [read post]
29 Aug 2018, 9:18 am
Tucker was permanently barred from the industry by the Financial Institute Regulatory Authority (“FINRA”). [read post]
21 Sep 2020, 11:56 am
" He added, "These adjustments are based on the almost decade-long experience of the CFTC staff in supervising SDRs and reviewing swap data, as well as the public’s informed comments to the proposal. [read post]
27 May 2025, 8:19 am
Your role in reviewing these communications can prevent potential legal issues. [read post]
2 Oct 2016, 10:49 am
The exam procedures being released today by the Bureau provide guidance to industry on what the CFPB will be looking for during reviews covering the amended regulation. [read post]
3 Jan 2023, 12:53 pm
Wilkinson made reference to a number of regulatory reviews in different jurisdictions, some of which have already cleared the deal (most recently Chile), and expressed hopes of receiving clearance in each of them over the next few months.She placed particular emphasis on the processes in the European Union and the UK, where there appears (as far as I understood it) to be a possibility of near-term settlements, and the remedies agreed upon with the European Commission and/or the… [read post]
18 Feb 2014, 2:38 pm
With a host of attorneys, paralegals, and staff, Blum Law Group has handled over $1 billion in investors’ claims over the course of nearly two decades. [read post]
4 Aug 2023, 10:42 am
It also requires importers to submit a CDC import form prior to travel, and the rule does not clarify if CDC staff need to review and approve forms for dogs coming from non-high risk rabies countries, or if an automatic clearance is granted. [read post]
28 Jun 2024, 1:13 pm
Some industry leaders think the problem can never be solved, even as startups publish (technically impressive-sounding, but non-peer reviewed) papers claiming to have solved the problem. [read post]
12 Jan 2024, 9:40 am
Last year, Anadith Reyes Alvarez, a medically vulnerable 8-year-old girl, died in Customs and Border Protection (CBP) detention after contract medical staff failed to review her medical records or consult with a physician and refused her emergency medical transport and care. [read post]
9 May 2013, 8:26 am
Although there is no statutory or regulatory requirement to check the LEIE at any specific intervals, the OIG suggests monthly screening to best minimize potential overpayment and CMP liability. [read post]
15 Dec 2021, 3:17 pm
” Foley is here to help you address the short- and long-term impacts in the wake of regulatory changes. [read post]
