Search for: "The Regulatory Review"
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26 Jan 2024, 9:05 pm
The post Securing Nations Against Climate Change first appeared on The Regulatory Review. [read post]
26 Jan 2024, 1:40 pm
The White Law Group reviews the regulatory history of Voya Financial Advisors. [read post]
26 Jan 2024, 8:45 am
A recent federal court case alleging breach of contract over failure of software to perform highlights the importance of careful drafting and review of disclaimer and other language in technology contracts. [read post]
26 Jan 2024, 8:27 am
Investors can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
26 Jan 2024, 6:50 am
Laws like the National Environmental Policy Act, with a body of judicial precedents requiring ever-longer environmental reviews and other sources of regulatory uncertainty, might come to be seen in a very different light when it impedes the domestic mining of critical minerals and the construction of semicon- ductor fabrications. [read post]
26 Jan 2024, 6:16 am
Completing client/matter risk assessment – A practical guide (12 February 2024| YouTube) Speakers: Mandeep Sandhu, Head of Proactive AML Supervision, SRA, Declan Brown, AML Regulatory Manager, SRA, Michelle Clement, AML Regulatory Manager, SRA Our recent thematic review of client/matter risk assessments found that less than half of those produced within firms were compliant with the rules. [read post]
26 Jan 2024, 5:18 am
To review: a SPAC is an entity formed with the intent of acquiring an emerging private company which it will then operate, paying for that acquisition in stock. [read post]
26 Jan 2024, 3:44 am
Background This consultation is the culmination of PRA interest in exit plan requirements for insurers flagged throughout its 2023 market correspondence and highlighted as a regulatory priority for insurance supervision in the PRA’s 2024 Dear CEO Letter. [read post]
25 Jan 2024, 9:04 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
25 Jan 2024, 6:06 pm
While these two types of REITs share these similarities, there are also numerous differences between them, as illustrated in the chart below provided by The Financial Industry Regulatory Authority (FINRA). [read post]
25 Jan 2024, 4:00 pm
Lighthouse Launches Industry’s First AI-Powered Privilege Review Lighthouse, a leader in technology-enabled eDiscovery, compliance, and information governance services, today announced the launch of Lighthouse AI Privilege Review, the industry’s first AI-powered privilege review. [read post]
25 Jan 2024, 12:27 pm
The following law review articles relating to securities regulation are now available in paper format: Ilya Beylin, ESG-Linked Swaps and the next Chapter of Regulatory Innovation, 42 Rev. [read post]
25 Jan 2024, 11:40 am
Figure 1 visualizes this AI agent-assisted human supervision system for GenAI use within legal and regulatory-related services. [read post]
25 Jan 2024, 8:35 am
You can also review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
25 Jan 2024, 8:12 am
Pix Credit Museum Panama City, Panama For those who might have an interest, I have posted for comment or reaction, a discussion draft of my essay, Overcoming the Human, Rights, and the State in Human Rights. [read post]
25 Jan 2024, 8:04 am
Nelson, J.D.The Financial Industry Regulatory Authority (FINRA) has updated its 2022 targeted exam review of how member firms talk to their retail customers about crypto assets and those firms’ related compliance with the communications rules contained in FINRA Rule 2210. [read post]
25 Jan 2024, 5:31 am
This article discusses the current reimbursement landscape with respect to chelation therapy and examines the current regulatory risks faced by healthcare providers when promoting chelation therapy. [read post]
25 Jan 2024, 5:01 am
Overall, the delegation characterization seems more consistent with the broad range of history, which indicates that it is up to Congress to decide when judicial review is available and what the standard of review should be. [read post]
25 Jan 2024, 3:58 am
They can also avoid regulatory trouble they are likely to encounter in 2025 for failing to adapt to these amendments. [read post]
24 Jan 2024, 9:05 pm
New regulatory problems often require fresh laws and agency mandates. [read post]
