regulatory compliance, fines and penalties

3. Total costs of regulatory compliance

Regulatory issues

General compliance issues

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.

(3) hearing the compliance issues the compliance chief and the compliance department reports and

Possible measures to address compliance issues

(i) Issues of non compliance with the Convention and the reasons for non compliance

The Compliance Committee may examine systemic issues of general compliance of interest to all Parties where

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.

Consideration of compliance issues arising out of the data report

Consideration of compliance issues arising out of the data report

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.

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

Mindful that the procedures and mechanisms called for under article 17 will help address issues of non compliance, including by facilitating assistance and providing advice to Parties facing compliance issues,

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.

(e) To determine other important issues relating to compliance of the Stockholm Convention.

In this capacity, the Compliance Officer will serve as an adviser on legal issues to the Chief of the Risk and Compliance Section.

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.

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.

Regulation and regulatory issues emerge as the next frontier or opportunity for ensuring sustained growth in the retailing sector.

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).

For the purposes of examining systemic issues of general compliance under paragraph 25, the Committee may

Armenia had been listed for consideration because of compliance issues arising out of the data report.

Similarly, issues of sector regulation, such as whether prices and quality of services should be established by the project company or by a regulatory agency, would be crucial for establishing an appropriate regulatory mechanism.

Governments are also attempting to adapt legal and regulatory frameworks to address and deal with issues arising from such trade.

Article 12 When a securities firm is set up, its business scope should align with its financial performance, internal control system, regulatory compliance system and human resources

To dismiss the compliance chief, an insurance company shall, within 10 days after the dismissal, submit a report and an explanation thereon to China Insurance Regulatory Committee.

The Chief will act as independent liaison in regard to compliance issues in the Fund's governance structure.

during business operation of the securities firm, it can apply to the securities regulatory agency under the State Council for adjustment of its business scope based on the financial performance, internal control level, regulatory compliance degree, business management capability of officers and quantity of professionals.

Once the responsible person for regulatory compliance finds behavior of law and regulation violation, he should report to agency prescribed in company regulation, and also report to the securities regulatory agency under the State Council or concerning self discipline organization according to the regulation.

(1) Where any head of compliance do not report to the securities regulatory agency of the State Council or relevant self discipline organizations about illegal or irregular acts

In the next few years regulations will top the issues that will critically affect the industry, leading towards more regulatory harmonization.

Issues to be addressed will include access, connectivity, policy and regulatory frameworks, e government, e commerce, and development of local content.

OIOS identified cases of non compliance and other issues of concern involving 64 of the 165 cases examined

Regulatory, legal and political issues must be addressed and resolved if support services for health care and education were to be met.

In that decision, the Conference of the Parties recalled article 17 of the Rotterdam Convention and was mindful that the procedures and mechanisms under article 17 would help address issues of non compliance, including by facilitating assistance and providing advice to Parties facing compliance issues.

The Notice of the China Securities Regulatory Commission on Several Issues Concerning Major Purchases, Sales and Exchanges of Assets by Listed Companies (No.105 2001 of the China Securities Regulatory Commission) will be repealed at the same time.

(2) examining and approving the annual compliance report of the company, presenting such report to China Insurance Regulatory Committee and taking measures to settle problems referred to in such report