Search Results | Showing 51 - 60 of 3009 results for %22Compliance%22 |
| | ... decision also doesn't reflect the SEC's stance on the legal status of other crypto assets or the existing non-compliance issues among some market participants. Meanwhile, SEC commissioner Caroline Crenshaw expressed strong dissent, labelling ... |
| | | ... took this case because we believed reasonable steps were not being taken by the directors to comply with their own compliance plan and obtain member approval for loans." "Today's penalties are significant and should act as a reminder to directors of ... |
| | | ... infrastructure and its Research team, instances of suspected insider trading, plagiarism of third-party research, and further compliance breaches. The action alleged this lack of disclosure resulted in investors paying inflated prices for their shares ... |
| | | ... stepped premiums," the letter read. The regulators warned insurers to "strengthen their risk management frameworks and compliance assurance around re-rating practices". "Life companies should examine their contracts to ensure that the terms about how ... |
| | | ... outcomes. Directors overwhelmingly saw the positive duty as an opportunity to drive cultural change, rather than a compliance exercise. A majority - 70% - of directors said their organisation has set recruitment and promotion targets to achieve gender ... |
| | | ... financial advisers. AMP has overhauled Jigsaw's offering, introducing an enhanced Essentials package. It already includes compliance support such as Responsible Manager training, education support, documentation templates, and other business solutions ... |
| | | ... in April of this year at APRA's request following the attack. "The reviews identified deficiencies in NGS' compliance with Prudential Standard CPS 234 - Information Security (CPS 234), while the cyber incident involved a significant amount of ... |
| | | ... tranche legislation as it is currently drafted will have much impact on reducing unnecessary processes, paperwork, and compliance steps. "Rather than fixing the red tape to get consumer costs down, the government appears to be handing back to institutions ... |
| | | ... "The MDP considered Instinet was negligent as it should have had procedures in place to prevent or detect possible non-compliance with the Rules applicable to crossing systems," the MDP said. Finally, Instinet was considered to have failed to update ... |
| | | ... business models, and product portfolios of various online trading providers to evaluate potential risks and verify their compliance with financial services legislation. |
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