regulatory compliance, fines and penalties

3. Total costs of regulatory compliance

Article 23 The securities firm should set up responsible person for regulatory compliance to audit, supervise or check legal and regulatory compliance of management behavior of securities firm.

Was there any mechanism to ensure such compliance?

That should ensure stricter compliance with the six week rule.

Circular of China Insurance Regulatory Commission concerning Printing and Distributing the Guidelines for the Compliance Management of Insurance Companies

The Act also included regulatory measures over banks and non bank financial institutions in compliance with relevant international instruments.

The securities firm should have appropriate reasons for dismissing responsible person for regulatory compliance and report to the securities regulatory agency under the State Council in written within 3 working days.

The compliance chief and the compliance department of an insurance company shall ensure that all important internal management systems and business procedures are in compliance.

We don't have a regulatory system able to ensure that that production is safe.

Examples include, increasing the probability of detecting fraud, waste, abuse or error, preventing an improper activity or enhancing regulatory compliance.

All these Acts ensure compliance with the provisions of that Convention.

Habitat should ensure full compliance with the administrative instructions (para. 18).

Therefore, any verification procedures must be sufficiently stringent to ensure full compliance.

Article 5 The compliance management of insurance companies shall be supervised and inspected by China Insurance Regulatory Committee and its dispatched offices.

China Insurance Regulatory Committee may, when necessary, irregularly require an insurance company to submit various kinds of comprehensive or special compliance reports.

See, for example, Abram Chayes and Antonia Handler Chayes, The New Sovereignty Compliance with International Regulatory Agreements (Cambridge, Harvard University Press, 1995).

Abram Chayes and Antonia Handler Chayes, The New Sovereignty Compliance with International Regulatory Agreements (Cambridge, Massachusetts, Harvard University Press, 1995), p. 159.

(c) Examine the single audit principle so as to ensure full compliance therewith

The Security Council must devise new mechanisms to ensure compliance with arms embargoes.

Article 30 The compliance department of an insurance company shall be responsible for organizing the study of the important supervisory documents circulated by China Insurance Regulatory Committee, make risk indications and put forward compliance suggestions.

They are for sale to corporations and individuals who want to offset their emissions for non regulatory purposes, are verified by independent verifiers, but are not certified by a regulatory authority for use as a compliance instrument.

The Convention contains clear, legally binding commitments, as well as provisions to ensure compliance.

We will take care to ensure full compliance with that principle in the future.

UNICEF agrees to ensure compliance with the requirements of Financial Circular 15, revision 3.

It is essential to ensure full compliance with all the provisions of the Treaty.

However, ISO 14001 certification by itself does not ensure continuous compliance with environmental legislation.

18. The Board recommends that the Administration ensure full compliance with the administrative instructions.

The Department agreed with the Board's recommendation that it implement measures to ensure that the technical compliance and inspection performance evaluations are performed at all missions to ensure the carriers' compliance with aviation and safety requirements.

Article 32 China Insurance Regulatory Committee shall, either through the compliance reports submitted by these companies or by conducting on the spot inspections, supervise and evaluate the compliance management work of insurance companies on a regular basis.

In Lithuania, a cleaner production programme is being implemented with support from the Norwegian Government to improve environmental performance, competitiveness and regulatory compliance of industry.

What was being done to ensure compliance with labour legislation, especially in the private sector?

The Government stated that it had taken appropriate action to ensure compliance with the Declaration.

Furthermore, reminders are frequently sent to the UNFPA representatives to ensure compliance with these procedures.

An independent nuclear regulatory authority is in its fifth year of existence to ensure safe operation of nuclear plants.

States should take appropriate legislative and regulatory measures to ensure that the proceeds of corruption are detected and recovered.

Regulatory frameworks should ensure that minimum standards are in place to achieve network interoperability within countries and GII connectivity

Core work programme activities with prescribed deadlines Maintenance of systems, databases and clearing houses (e.g. GHG information system) Regulatory functions (e.g. CDM Executive Board, Compliance Committee).

An insurance company shall, by working out corresponding compliance policies or other formal documents, determine the organizational structure, duties and rights of the compliance department and compliance posts, and work out measures to ensure their independency.

Under the Montreal Protocol, States parties in non compliance are requested to provide an explanation for non compliance, as well as a plan of action with time specific benchmarks to ensure a prompt return to compliance.

UNICEF will ensure compliance with the provisions regarding the role of the headquarters Property Survey Board.

UNHCR will take the following steps to ensure greater compliance with the UNHCR Manual (Chapter 4).

Ensure compliance with international standards for airport and airline security and other modes of transportation security.

The Director of the Office shall take all necessary measures to ensure compliance with these obligations.

This also requires the right regulatory framework to ensure that the private sector contributes responsibly to a decent work agenda.