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- Recent BSA Enforcement Actions: A Road Map or a Compass for U. S. Banks?
- Regulatory enforcement actions related to Bank Secrecy Act BSA compliance have captured the industry's attention in recent months. "Consent" decrees where Riggs Bank, N.A., and AmSouth agreed to millions of dollars in civil money penalties are more than just "war stories" involving individual institutions. In addition to their addressees, they...
- Research articles 2005-04-01
- Playing fair, by force. (The Week in Review).
- Stay tuned for more to come. The SEC last Monday launched the first enforcement actions brought against U.S. companies for violating Regulation Fair Disclosure, a two-year-old law requiring companies to release financial information to the public a Stay tuned for more to come. The...
- Research articles 2002-12-02
- SEC enforcement actions put spotlight on VA switches. (Regulation).(variable annuities)(Brief Article)
- The regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the Securities and Exchange Commission. The regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the Securities and Exchange...
- Research articles 2002-07-15
- EPA Posts a Record Year for Enforcement Actions.
- FISCAL 1999 was a record year for enforcement actions and penalties for the Environmental Protection Agency. Administrator: Carol Browner says that $166.7 million in civil penalties were assessed and another $3.6 billion in enforcement actions were FISCAL 1999 was a record year for enforcement...
- Research articles 2000-01-31
- AN APPELLATE COURT.
- AN APPELLATE COURT decision that struck down EPA's authority to overfile on state enforcement action impairs the agency's ability to maintain national consistency in the laws it administers, EPA says in court papers. Overfiling occurs when EPA purs AN APPELLATE COURT decision that struck...
- Research articles 1999-11-29
- Polluters pay billions in cleanup costs.(Brief Article)
- Byline: BRUCE GEISELMAN WASHINGTON-Polluters paid $2.9 billion to reduce pollution and clean up contamination during fiscal year 2003 as a result of enforcement actions by the federal government. That is about $1 billion less than in the previou Byline: BRUCE GEISELMAN...
- Research articles 2004-01-05
- State securities cops' nightsticks poised; Pressures mount as Congress seeks to intervene.(News)
- Byline: Frederick P. Gabriel Jr. State securities regulators, faced with growing budget deficits and a move on Capitol Hill to limit their authority, are under pressure to flex their muscles in the direction of banks, brokerage houses, mutual ...
- Research articles 2003-08-25
- Financial companies use 'pre-emption' against state regulators; Counter sue when officials challenge them.(News)
- Byline: Sara Hansard WASHINGTON - Financial services companies are trying to turn the tables on state securities regulators by taking the agencies to court, challenging regulators' authority to bring some enforcement actions. State offi ...
- Research articles 2005-08-22
- Credibility of New Policy Hinges on Enforcement Actions
- Information collected as part of Flight Operations Quality Assurance Programs FOQA will not be used to prosecute safety violations, according to a new policy announced Dec. 2 by FAA Administrator Jane Garvey. "Important safety advances" have already occurred as a result of a three-year Demonstration Study of FOQA data gathering,...
- Research articles 1998-12-07
- EPA Reports 1997 Results
- IN FISCAL 1997, Environmental Protection Agency took more than 3,000 enforcement actions that resulted in millions of dollars in fines and billions of pounds of pollutants being either cleaned up or eliminated altogether. "EPA concluded 3,36 IN FISCAL 1997, Environmental Protection Agency...
- Research articles 1998-08-31
- Court Takes a Wait-and-See Approach To EPA Rules Challenged by Industry
- A FEDERAL APPEALS court has dismissed a lawsuit filed by dozens of companies and industry groups seeking to overturn Environmental Protection Agency's credible evidence rule. The US Court of Appeals for the District of Columbia says it will delay A FEDERAL APPEALS...
- Research articles 1998-08-24
- Court Takes a Wait-and-See Approach To EPA Rules Challenged by Industry.
- A FEDERAL APPEALS court has dismissed a lawsuit filed by dozens of companies and industry groups seeking to overturn Environmental Protection Agency's credible evidence rule. The US Court of Appeals for the District of Columbia says it will delay A FEDERAL APPEALS...
- Research articles 1998-08-24
- States hang tough in tug over regulatory jurisdiction; They are unwilling to take a backseat to the SEC.(News)
- Byline: Sara Hansard and Rick Miller The Securities and Exchange Commission is going to have a tough time getting state regulators to take a backseat on setting national policies as part of their enforcement actions. That...
- Research articles 2003-09-22
- EPA action on Mexico-US hazwaste shipments:
- The US Environmental Protection Agency EPA has taken enforcement actions against three US companies exporting hazardous wastes from Maquiladora plants in Mexico to the US for treatment and disposal. Allied-Signal Aerospace, REM-TEX Manufacturing, andThe US Environmental Protection Agency EPA has taken enforcement actions against three US...
- Research articles 1993-08-01
- D & O Liability Product Directory.(directors and officers)(Statistical Data Included)
- GULF INSURANCE COMPANY Contact: John McElroy Address: 125 Broad Street City: New York ST: NY Zip: 10004 Phone: 212-291-3080 Fax: 212-291-3017 Email: jmcelroy@gulfins.com ...
- Research articles 2001-12-03
- No let-up software piracy crackdown, BUSINESS TIMES
- Business Times Malaysia 07-18-2000 SINCE the start of its anti-piracy software campaign - Crackdown 2000 - two weeks ago, the Enforcement Unit of the Domestic Trade and Consumer Affairs Ministry has taken enforcement action against 22 compani Business Times Malaysia...
- Research articles 2000-07-18
- EPA Signs New Rule That Allows More Air Compliance Monitoring
- ENVIRONMENTAL PROTECTION Agency administrator Carol Browner has signed a controversial final rule that gives federal and state regulators authority to use a much broader range of evidence to establish violations of the Clean Air Act. The "cr ENVIRONMENTAL PROTECTION Agency administrator Carol...
- Research articles 1997-02-24
- Focus on Risk Management
- The article says that bank examiners are focusing on risk management. Increasingly, banks are facing examiner criticism, downgrades in CAMELS ratings, and enforcement actions based on the alleged failure to have sufficient internal systems for identifying, measuring, controlling and monitoring risk. Examinations and enforcement actions are demanding greater board of...
- White papers 1996-07-03
- Enforcement Actions: Has Much Changed in the Last Decade?
- The article overviews that as the economy and regulatory climate, enforcement actions are on the rise. Review your corporate governance and board practices with counsel. Before entering into any enforcement actions, bank directors and management need to fully understand the provisions, the ramifications of agreeing to abide by certain provisions...
- White papers 2002-09-01
- Report Pursuant To Section 704 Of The Sarbanes-Oxley Act Of 2002
- "Section 704 of the Sarbanes-Oxley Act directs the Commission to study enforcement actions over the five years preceding its enactment in order to identify areas of issuer financial reporting that are most susceptible to fraud, inappropriate manipulation, or inappropriate earnings management (the "Study"). In addition, Section 704 directs the Commission...
- White papers 2003-01-01
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