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21 Apr 2016, 6:49 am
The seminar was organized by the Aruba Bankers’ Association & Insurance Association of Aruba. [read post]
18 Jul 2013, 9:00 pm
They are appointed in the interest of the company, as such, and the associated companies, thus for the stakeholders in general. [read post]
13 Nov 2015, 12:13 pm
The revised supervisory appeals process incorporates a number of changes. [read post]
11 Apr 2019, 4:20 am
On April 3, 2019, the Association of German Supervisory Authorities (“Datenschutzkonferenz” or “DSK”) issued a paper (available here in German) on the interpretation of “broad consent” for scientific research in Recital 33 of the GDPR and the interplay with the definition of consent and the principle of purpose limitation. [read post]
26 Nov 2013, 8:00 pm
They are appointed in the interest of the company, as such, and the associated companies, thus for the stakeholders in general. [read post]
4 May 2023, 9:30 am
However, NCAs are still in the process of building up their capacity to review the risks associated with digital transformation and ESG, and supervisory attention on these topics was not always homogenous. [read post]
21 Mar 2022, 3:00 am
The CCO’s role, in and of itself, is advisory, not supervisory. [read post]
22 Sep 2022, 8:06 am
The rule gives requirements for a firm to have reasonably designed written supervisory procedures (WSPs) to supervise the activities of its associated persons and the types of businesses in which it engages. [read post]
3 Sep 2014, 7:07 pm
“The Joint Forum has today released its report on supervisory colleges for financial conglomerates. [read post]
4 May 2017, 12:00 am
The paper presented, “Trends in Supervisory and Clearing Firm Liability” addressed a number of newly emerging issues facing FINRA member brokerage firms, including introducing and clearing firms, in the context of the newly enacted FINRA supervisory Rules 3110 and 3120, as well as the new Know Your Customer and Suitability Rules 2090 and 2111. [read post]
27 Dec 2011, 11:13 am
As we reported earlier, the FDIC’s latest Supervisory Insights Journal contained an article of "critical interest" about mobile banking and strategies for mitigating risks. [read post]
23 Mar 2015, 11:26 am
In all other instances, a supervised financial institution may only disclose confidential supervisory information to a third party upon the prior written approval of the Associate Director for Supervision, Enforcement and Fair Lending. [read post]
24 Jul 2017, 2:07 pm
The FDIC proposed the amendments last August and received only two comment letters, one from a trade association and the other from a financial holding company. [read post]
6 Apr 2014, 6:31 pm
While we recognize the considerable efforts associated with the initial development and implementation of the program, we believe that the CFPB can improve the efficiency and effectiveness of its supervisory activities. [read post]
9 Aug 2022, 12:09 pm
On 9 August 2022, the FCA published a portfolio letter on its Alternatives Supervisory Strategy. [read post]
14 Jun 2023, 9:03 am
The post Finra Sanctions Former Branch Manager in NJ Over Supervisory Lapses appeared first on Stoltmann Law. [read post]
23 Oct 2012, 9:19 am
Given the inherent costs associated with additional layers of supervisory review, it begs the question of whether the cost is justified by the producer's revenue. [read post]
30 Jul 2014, 7:00 am
The SEC’s Division of Trading and Markets issued guidance regarding supervisory liability that may arise under the Securities Exchange Act of 1934, concerning the role and duties of chief compliance officers and other legal and compliance personnel at broker-dealers. [read post]
12 Nov 2018, 9:20 am
The American Bankers Association and the Bank Policy Institute have sent a letter to the Board of Governors of the Federal Reserve System (Fed) to petition the Fed to engage in rulemaking to clarify the Fed’s September 2018 “Interagency Statement Clarifying the Role of Supervisory Guidance” (the “Interagency Statement”). [read post]
23 Oct 2012, 9:19 am
Given the inherent costs associated with additional layers of supervisory review, it begs the question of whether the cost is justified by the producer's revenue. [read post]
