Sentences with phrase «regulators on compliance»

Last week, two Japanese crypto exchanges decided to shut down rather than work with regulators on compliance.

Pete Gendron, a licensed marijuana grower who advised state regulators on compliance and enforcement, said the reports» numbers are guesswork, and furthermore are outdated because they don't take into account the marijuana now being sold in Oregon's legal recreational market.

Not exact matches

The bank said it discovered the weaknesses in its compliance policies on its own and voluntarily disclosed them to regulators.

On Jan. 8, regulators inspected six banks to ensure compliance with the new regulations, which included strict know - your - customer identification rules, among other measures.

U.S. pipeline regulators» final inspection report on the Keystone XL's southern route showed that the company was still not operating in full compliance.

The additions of individual BSA and AML experts will allow Antoinette to assume full time duties as our Chief Compliance Officer while Karen Gifford will leverage her network to focus on external regulator relationships as Special Advisor of Global Regulatory Affairs.

CBA will appoint an independent reviewer to be approved by APRA to report to the regulator every three months from September on the bank's compliance with the EU.

See also «RCA Symposium Offers Perspectives from Regulators and Industry Experts on 2014 Examination and Enforcement Priorities, Fund Distribution Challenges, Conducting Risk Assessments, Compliance Best Practices and Administrator Shadowing (Part Three of Three),» The Hedge Fund Law Report, Vol.

But in the past few weeks the sector took a fresh round of hits when franchise group Aussie Farmers collapsed, RFG announced an $ 88 million loss and flagged up to 200 franchise - run stores would close, while pizza giant Domino's reported disappointing results on the back of franchisees complaining about a brutal business model, and Caltex announced it was ditching its franchise model days before a damning report was released by the workplace regulator that found 76 per cent of its franchised stores had payroll compliance breaches that included underpaying workers.

As the Guardian pointed out on Wednesday, once a regulator has the ability to decide what compliance looks like, the BBFC will inevitably want to specify whether websites are conforming with their view of UK law.

Deb Sigman, CDE's deputy superintendent over assessment and accountability, said the state is not out of compliance and her office continues to be engaged with federal regulators on the issue.

«Regulators are paying closer attention to what's going on during the sales and F&I process at the dealership, so a strong compliance management system (CMS) is more vital than ever,» Radogna says.

Mortgage lenders and regulators frequently rely on APRWIN to confirm that advertised APRs are accurate and in compliance with federal rules.

On the compliance side, California's cap - and - trade program stands to add another 40 MtCO2e in demand for REDD + offsets through 2020, if state regulators open the market up to offsets from carbon projects located outside the U.S.. However, long - term plans hinge largely on policy at the national level in BraziOn the compliance side, California's cap - and - trade program stands to add another 40 MtCO2e in demand for REDD + offsets through 2020, if state regulators open the market up to offsets from carbon projects located outside the U.S.. However, long - term plans hinge largely on policy at the national level in Brazion policy at the national level in Brazil.

Those on the fringes are often more prone to close scrutiny by regulators to ensure competence and regulatory compliance.

on dealing with regulators (including the Financial Markets Authority, the Reserve Bank, NZX, the NZ Markets Disciplinary Tribunal, Takeovers Panel and Companies Office) on general interactions, policy submissions and threatened enforcement actions, including assisting with response strategy, legal analysis, compliance advice, exemptions, waivers, compromises and, if needed, litigation defence

A study by Thomson Reuters highlighted that 69 % of firms expected regulators to publish more information on data privacy compliance in the coming year, with 26 % expecting «significantly» more.

Hugh James has a leading regulatory team which advises on compliance with care standards legislation including inspections, investigations and enforcement by regulators.

It reports on how companies are preparing and how the thinking of regulators is evolving around areas such as the requirement for online tracking consent, the Privacy Shield and GDPR compliance.

Frank Maher is a practising solicitor and partner in Legal Risk LLP, specialising in advising law firms, insurers and regulators on professional indemnity and compliance.

On May 14, 2014, Don Douglas spoke at Compliance Day ™ Brandon on the topic of «When the Regulators Come Calling.&raquOn May 14, 2014, Don Douglas spoke at Compliance Day ™ Brandon on the topic of «When the Regulators Come Calling.&raquon the topic of «When the Regulators Come Calling.»

4) That if the regulator considers it necessary to do so, the regulator may require a law practice to: (i) ensure that an appropriate management system is implemented and maintained to enable the provision of legal services by the law practice in accordance with the professional rules and obligations of legal practitioners within the law practice, and (ii) provide periodic reports on its compliance with the appropriate management system.

We advise on the effect on fast - developing regulation, build compliance programmes, and help our clients manage regulatory enforcement risk, often involving multiple regulators across jurisdictions.

Phillip Stano relies on more than 30 years of experience — as a regulator, then as counsel for a life insurers» trade association and now as a defense attorney — to achieve positive outcomes in class action suits, other complex financial services litigation, and regulatory and compliance counseling.

There will be an increasing number of compliance roles in the next 12 to 24 months as regulators such as SFC continue to focus on them.

Unlike many of our City competitors, we handle environmental compliance at an operational level on a day - to - day basis, negotiating with regulators and resolving complex regulatory issues.

We counsel our clients on how to best manage the results of the investigation, dealing with the relevant regulators when needed, and helping to shape compliance programs to better identify and mitigate related risks.

Support at each phase of the remediation journey, including advising on non-legal breaches, support on engagement with the regulator, development of tools to assist with compliance and governance review to identify root causes and sign off the implementation of solutions and strategies to address issues.

Our Regulatory Risk and Compliance Practice Group remain focused upon supporting firms with the FCA conduct challenge, have hands on experience of implementing complex regulatory frameworks and requirements into business processes, and have frequent interaction with regulators.

In Ontario, the Law Society has established a Task Force on Compliance - Based Entity Regulation, which is exploring a proactive, outcomes - focused approach where the regulator sets out expected outcomes and provides flexibility as to how they are achieved.

She provides counseling and representation in all forms of consumer protection matters, and regularly assists clients with privacy and data security compliance audits, forensic investigations related to information practices, data security breach notification procedures and represents companies before state and federal regulators on a range of consumer protection compliance matters.

I suppose that what regulators should always ask themselves is: «If I were a bank, an insurer, a business, and had to act on this rule, would I engage the Compliance Department or hire 15 lawyers to help me avoid it?»

The aim is not to be prescriptive, but rather, as put by the Australian regulators, to focus on «education towards compliance».

Regulators and legislators have trained their focus on financial compliance issues.

On Jan. 8, regulators inspected six banks to ensure compliance with the new regulations, which included strict know - your - customer identification rules, among other measures.

As the dust settles on Circle's acquisition of Poloniex, U.S. regulators are keeping a close eye on KYC / AML compliance of cryptocurrency exchanges.

Most Crypto Exchanges «Over-Regulate Themselves» As the dust settles on Circle's acquisition of Poloniex, U.S. regulators are keeping a close eye on KYC / AML compliance of cryptocurrency exchanges.

South Korea's financial regulators said on Wednesday they will jointly carry out inspections on local banks» operations with cryptocurrency exchanges to check their compliance with anti-money laundering (AML) guidelines.

Meanwhile, the top three exchanges in the country, BTCC, Huobi and OKCoin, announced yesterday that they are extending the aforementioned moratorium on withdrawals until regulators approve the internal compliance upgrades.

In fact, according to South Korea news agency Yonhap, the country's financial regulator, the Financial Service Commission, was required to brief other 36 member states on its work bringing in anti-money laundering compliance rules for domestic cryptocurrency exchanges.

The two regulators will focus on the cybersecurity of cryptocurrency exchanges and service providers as well as their compliance with the country's privacy laws.

Regulators decided that the exchanges would have to demonstrate strict compliance with anti-money laundering laws and thus withdrawals were announced to be on hold for a month, while the reviews work themselves out with the exchanges mentioned above.

Responded to all compliance regulatory inquiry letters from SEC, NYSE, NASD, and State Regulators Analyzed, organized and promptly secured all trading data documentations in response to firm's yearly internal audits on trading tickets, new accounts and procedural audits.

Project Manager / Compliance Officer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and Compliance Officer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and positivity