entity · derived
Compliance
Derived node: assembled mechanically from the claims carrying compliance. A roster, not an adjudicated definition.
Every claim under this term
- 1664809-022 : Overlapping regulation and inconsistent legal rules create uncertainty, so that individual board members of European companies and their attorneys will not know which legal rules apply or what effects
- 2273857-064 : Corporate integrity agreements improve corporate governance because the ease of reopened prosecution, increased government scrutiny, and the potential for crippling penalties improve boards' and manag
- 2337268-037 : Mandatory ethics codes, disclosures, and client consents are effective instruments for curtailing fraudulent practices by investment advisers.
- 2447306-028 : SEC flexibility in answering Form PF questions is valued by filers: 72.92 percent of respondents said the flexibility the SEC provides is helpful.
- 2447306-030 : Regulatory flexibility can backfire: a category of respondents reported that the flexibility the SEC provides is not useful precisely because it is unclear and generates confusion.
- 2470008-004 : Even though the private fund industry broadly accepted Form PF, the form's core problems for the SEC are the ambiguity of several questions, advisers' disagreement with the definition of funds, and co
- 2470008-029 : More than forty percent of respondents in a prior study disagreed with the definitions or instructions in Form PF.
- 2629451-027 : The positive market reaction at announcement and at the start of the term is the market acknowledging that an N/DPA gives the firm an opportunity to be better managed, more compliant, and less exposed
- 2732915-001 : Five years after the Dodd-Frank Act, the private fund industry is most affected by the uncertainty and the higher costs the Act generates, yet on multiple metrics the industry is coping well with the
- 2732915-039 : The SEC's clarifying and optimizing of the legal framework after the Dodd-Frank Act effectively supports the private fund industry in its efforts to comply with the revised standards.
- 2739479-015 : Registered investment advisers should expect a more demanding regulatory environment ahead, including new or proposed regulations, more SEC enforcement actions against private fund managers, and longe
- 2808132-010 : When disruptive firms do not comply with existing rules or effectively create their own exemptions because the existing framework does not reach them, public policy goals can be undermined and incumbe
- 2831040-027 : The downsides of principles based regulation are a costly and time consuming transition from rules based regulation, uncertainty, and compliance problems that follow from that uncertainty.
- 2922176-011 : Corporate governance intermediaries such as lawyers, accountants, auditors and consultants respond to governance requirements with minimum compliance, applying minimal effort for maximum compliance.
- 2939127-028 : Although blockchain technology itself offers unprecedented data and privacy protection, storing blockchain data across a global network of nodes often will not comply with the consumer protection rule
- 2998033-005 : Blockchain creates a data protection paradox: the technology itself offers strong privacy protection, yet storing blockchain data across a global network of nodes will often violate specific consumer
- 2998033-011 : Managers of funds that exist only as smart contracts in cyberspace, with no foreign or domestic domicile, cannot assume they are judgment proof; the more likely outcome is that they must comply with m
- 2998033-019 : Recording all fund transactions in the public blockchain lets an adviser demonstrate compliance with its best execution obligations and locate and audit past trades, converting a compliance burden int
- 3071378-010 : Although blockchain technology itself offers genuine data and privacy protection, storing blockchain data across a global network of nodes often will not comply with specific consumer protection rules
- 3117224-040 : Regulatory efforts toward ICOs take several forms or permutations of them, including regulating ICOs, cryptocurrencies, and DLT, mandating compliance programs, and regulating exchanges.
- 3409548-022 : Managers of funds that exist entirely in cyberspace cannot assume they are judgment proof; the practical consequence of operating across a global node network is exposure to more regulation, not less.
- 3409548-035 : Recording every fund transaction together with its associated documentation on a blockchain cuts the significant costs of human oversight in recording, organizing and maintaining investment fund data
- 3409548-036 : Recording all transactions in the public blockchain is what lets LendingRobot comply with its best execution obligations, making the public ledger a compliance instrument and not only an investment re
- 3782203-037 : Automating exclusion of cheaters through smart contracts makes punishment credible and removes the infinite regress of traditional enforcement, where members would have to police those who failed to p
- 3808852-029 : Automation and the absence of a human backstop in compliance, back office, and settlement create new risks to market integrity on decentralized exchanges, including wash trading, frontrunning, and ins
- 3936876-026 : State chartered special purpose depository institutions remove some of the legal hurdles that burden technological advances, notably the reluctance of the existing banking sector to tailor AML and BSA
- 3981021-035 : Punishment for nefarious conduct becomes credible when it is automated, and the value of a voting associate's reputation is directly related to how well punishment can be distributed in response to ne
- 4033886-028 : One design remedy for thin trading volume is supervision of digital asset exchanges by a federal governing authority or a self regulatory organization to assure compliance with existing laws.
- 4529715-008 : The absence of clear regulatory direction from the SEC and state governments helps explain why many DAOs take minimal action to establish regulatory compliance within their organizations.
- 4796714-032 : Managing machine learning assets and complying with laws such as GDPR and CCPA becomes significantly harder under decentralized governance, because distributed data and operations complicate tracking
- 4855607-024 : WDAGs allow new regulatory and ethical standards to be integrated into existing AI systems without overhauling the entire model architecture, which is what makes rapid legal adaptation feasible in sec
- 4941807-024 : Enforcing AI regulation in a federated model is complex because different entities may interpret the same regulations differently and may show differing levels of commitment to compliance.
- 4941807-027 : Decentralized governance makes privacy compliance harder to demonstrate, because the distributed nature of these systems complicates tracking data flows and enforcing privacy controls, which in turn m
- 4957318-002 : Overlapping or contradictory regulation raises the risk of selective enforcement and legal arbitrage, because entities that cannot be expected to comply with everything can instead exploit the gaps an
- 4957318-024 : Experimental rules impose a cost on the regulated: because the rules are temporary and subject to change, they complicate compliance efforts, disrupt long term planning, and create ambiguity that can
- 5245185-018 : Latency in blockchain forensic analysis limits real time detection, and existing compliance services offer no strategy for overseeing transactions on privacy focused blockchains where opacity defeats
- 5454054-022 : The absence of fiat par-redemption combined with limited acceptance inside merchant ecosystems makes LER rewards closed-loop utilities, which is what removes their classification as electronic money t
- 7596939-011 : Record protection reaches agents by the deferrable share of their objective rather than by their interest in money, and it applies only when the objective holds enough deferrable value, the relevant q
- 7596939-026 : Under the TOLD condition, with one provider in one stipulated environment, suspension compliance was 0.95 under own standing against 0.75 under the capturable representative, a difference of 0.20 whos