Since then it has increasingly found itself under regulatory scrutiny for potential risk and compliance lapses.
Unlike executives of most public companies, brokerage firm chiefs are already subject to intense regulation and can be held liable for compliance lapses regardless of the proposed rule.
"We believe the commission's ability to routinely examine hedge fund advisers would assist the commission in the earlier detection of fraud and prevent certain misconduct and compliance lapses from developing into fraud," Mr. Roye said.
I am pleased to have worked out a settlement with the SEC to put to rest any issues related to compliance lapses that might have occurred under my watch at Lending Club.
Vocabulary: parole, violation, mandatory, criminologists, incarceration, reassurance, midst, surveillance, potential, tampers, nondescript, lapse, compliance, alibi, infrastructure Extension Activities: 1.
Law enforcement and counterterrorism officials, citing lapses in compliance with surveillance orders, are pushing to overhaul a federal law that requires phone and broadband carriers to ensure that their networks can be wiretapped, federal officials say.
This found "serious lapses in compliance" by the Mexican government and tolerance of severe and systematic abuses of women's rights.
One respondent made the observation that lapses in compliance cannot always be attributed to inadequate training, nor corrected by more training: Training is training.
Despite this action, lapses in compliance with the rule that were exposed in other cities have not been subject to enforcement actions, according to EPA insiders speaking on background only.
Instead of the PCC, a new press body should be set up free from financial dependence on the industry, with a tougher code of conduct, powers to investigate compliance with it and others to penalise lapses from it.
Then, in compliance with the constitution, it was allowed to lapse Oct. 10.
