Regulation

ANSI National Accreditation Board (ANAB) Approved by U.S. Department of Labor as Standards Recognition Entity

Retrieved on: 
Thursday, September 24, 2020
Standards organizations, Accreditation, Quality assurance, International Accreditation Forum, Regulation, American National Standards Institute, Articles, Standards, International Laboratory Accreditation Cooperation, ISO/IEC 17025, Control system security

NEW YORK, Sept. 24, 2020 /PRNewswire/ --The ANSI National Accreditation Board (ANAB) , a wholly owned subsidiary of the American National Standards Institute (ANSI) , has been approved by the U.S. Department of Labor's Office of Apprenticeship as a Standards Recognition Entity (SRE).

Key Points: 
  • NEW YORK, Sept. 24, 2020 /PRNewswire/ --The ANSI National Accreditation Board (ANAB) , a wholly owned subsidiary of the American National Standards Institute (ANSI) , has been approved by the U.S. Department of Labor's Office of Apprenticeship as a Standards Recognition Entity (SRE).
  • With recognition as an SRE, ANAB can now evaluate and recognize Industry-Recognized Apprenticeship Programs (IRAPs) pursuant to the Department of Labor's standards.
  • For informationabout how to apply for recognition under the ANAB-IRAP program, contact Evelyn Nash, manager of accreditation, ANAB credentialing accreditation programs, at [email protected] .
  • The ANSI National Accreditation Board (ANAB) is the largest multi-disciplinary ISO/IEC 17011 accreditation body in North America, with comprehensive signatory status across the multilateral recognition arrangements of the International Laboratory Accreditation Cooperation (ILAC) and International Accreditation Forum (IAF).

2020 Analytics Successfully Completes SOC 1 Type 2 and SOC 2 Type 2 Examination with 360 Advanced

Retrieved on: 
Wednesday, September 9, 2020
Sarbanes–Oxley Act, Standards, Auditing, Business, SSAE 16, HITRUST, System and Organization Controls, Cision, Regulation, Economy, Uday Ali Pabrai

TAMPA, Fla., Sept. 9, 2020 /PRNewswire-PRWeb/ -- 2020 Analytics, a provider of loan portfolio analytics software, today announced the successful completion of their 2020 System and Organizational Controls (SOC) 1 Type 2 examination, as well as their 2020 SOC 2 Type 2 examination.

Key Points: 
  • TAMPA, Fla., Sept. 9, 2020 /PRNewswire-PRWeb/ -- 2020 Analytics, a provider of loan portfolio analytics software, today announced the successful completion of their 2020 System and Organizational Controls (SOC) 1 Type 2 examination, as well as their 2020 SOC 2 Type 2 examination.
  • The company's SOC 1 Type 2 examination focused on their internal controls over financial reporting, assessed over a period of time.
  • The effort was completed by the professional and independent third-party audit firm, 360 Advanced, Inc.
    "The 360 Advanced team was a pleasure to work with.
  • Services provided include SOC 1, SOC 2, SOC 3, SOC for Cybersecurity, SOC for Supply Chain, CSA STAR, HIPAA/HITECH, ISO 27001, PCI-DSS, HITRUST CSF, Microsoft SSPA Attestation, Penetration Testing, GDPR, CCPA and more.

Proposify Successfully Completes SOC 2 Type 1 Examination with 360 Advanced

Retrieved on: 
Tuesday, September 8, 2020
Sarbanes–Oxley Act, Standards, HITRUST, Auditing, Business, Regulation, United States federal legislation, SSAE 16, System and Organization Controls, Payment Card Industry Data Security Standard, Health Insurance Portability and Accountability Act, Regulatory compliance

That's why we worked with 360 Advanced: to ensure that we meet and exceed industry standards."

Key Points: 
  • That's why we worked with 360 Advanced: to ensure that we meet and exceed industry standards."
  • "SOC 2 compliance allows us to share this verified information with prospects and current customers to ensure that Proposify meets those requirements."
  • The SOC 2 Type 1 examination provided assurance that the company's controls were designed and placed into operation as of a point in time.
  • Services provided include SOC 1, SOC 2, SOC 3, SOC for Cybersecurity, SOC for Supply Chain, CSA STAR, HIPAA/HITECH, ISO 27001, PCI-DSS, HITRUST CSF, Microsoft SSPA Attestation, Penetration Testing, GDPR, CCPA and more.

ESMA PROPOSES TO FURTHER POSTPONE CSDR SETTLEMENT DISCIPLINE

Retrieved on: 
Saturday, August 29, 2020
European Union, Government, European Securities and Markets Authority, Regulation, Articles

28 August 2020

Key Points: 
  • 28 August 2020

    Post Trading

    The European Securities and Markets Authority (ESMA), the EUs securities markets regulator, has today published a final report on draft regulatory technical standards (RTS) definitively postponing the date of entry into force of theCommission Delegated Regulation (EU) 2018/1229(RTS on settlement discipline) until 1 February 2022.

  • This postponement is due to the impact of the COVID-19 pandemic on the implementation of regulatory projects and IT deliveries by Central Securities Depositaries and a wide range of market participants and follows arequestfrom the European Commission (EC).
  • The measure is additional to the Commission Delegated Regulation (EU) 2020/1212, based on ESMAsproposal to amend the RTS on settlement discipline to postpone its date of entry into force from 13 September 2020 to 1 February 2021.
  • The RTS on settlement discipline cover measures to prevent and address settlement fails including:

    Next steps

    Following the endorsement of the RTS by the EC, the Delegated Regulation will then be subject to the non-objection of the European Parliament and of the Council.

Regulation of advertising by the ASA

Retrieved on: 
Friday, August 21, 2020
Regulation, Communication, Communication design, Advertising Standards Authority, Advertising, Committee of Advertising Practice

This House of Commons briefing paper considers the regulation of advertising in the UK and provides an overview of the functions and remit of the Advertising Standards Authority (ASA).

Key Points: 
  • This House of Commons briefing paper considers the regulation of advertising in the UK and provides an overview of the functions and remit of the Advertising Standards Authority (ASA).
  • Advertising techniques have rapidly evolved and now include, online behavioural advertising, native advertising and influencer advertising (e.g.
  • The advertising regulatory system is a mixture of:

    Self-regulation means that the advertising industry has voluntarily established and paid for its own regulation.

  • This House of Commons briefing paper considers the regulation of advertising in the UK and provides an overview of the functions and remit of the ASA.

Harry Cayton CBE Joins Thentia's Board of Directors

Retrieved on: 
Wednesday, August 12, 2020
Economics of regulation, Public policy, Regulation

TORONTO, Aug. 12, 2020 /PRNewswire/ -- Harry Cayton CBE, a world-renowned expert on regulatory practices, will be joining the board of directors of Thentia, a leading technology provider for the regulatory and licensure market.

Key Points: 
  • TORONTO, Aug. 12, 2020 /PRNewswire/ -- Harry Cayton CBE, a world-renowned expert on regulatory practices, will be joining the board of directors of Thentia, a leading technology provider for the regulatory and licensure market.
  • As a leading authority on regulatory practices, Mr. Cayton brings a lifetime of experience as an advisor on professional and regulatory boards.
  • He pioneered right-touch regulation, an approach to regulatory decision-making, which has been adopted by regulatory bodies across the world.
  • Prior to becoming a director on the board, Mr. Cayton had previous positive experiences while advising Thentia's team on right touch regulation practice.

Harry Cayton CBE Joins Thentia's Board of Directors

Retrieved on: 
Wednesday, August 12, 2020
Economics of regulation, Public policy, Regulation

TORONTO, Aug. 12, 2020 /PRNewswire/ -- Harry Cayton CBE, a world-renowned expert on regulatory practices, will be joining the board of directors of Thentia, a leading technology provider for the regulatory and licensure market.

Key Points: 
  • TORONTO, Aug. 12, 2020 /PRNewswire/ -- Harry Cayton CBE, a world-renowned expert on regulatory practices, will be joining the board of directors of Thentia, a leading technology provider for the regulatory and licensure market.
  • As a leading authority on regulatory practices, Mr. Cayton brings a lifetime of experience as an advisor on professional and regulatory boards.
  • He pioneered right-touch regulation, an approach to regulatory decision-making, which has been adopted by regulatory bodies across the world.
  • Prior to becoming a director on the board, Mr. Cayton had previous positive experiences while advising Thentia's team on right touch regulation practice.

Meperia Successfully Completes Third Annual SOC 2 Type 2 Examination with 360 Advanced

Retrieved on: 
Wednesday, August 5, 2020
Sarbanes–Oxley Act, Standards, Auditing, Business, Regulation, System and Organization Controls, SSAE 16, HITRUST, Evaluation, Payment Card Industry Data Security Standard, SOC, Health Insurance Portability and Accountability Act

Meperia was audited against the AICPA Trust Services Criteria for Security, Availability, and Confidentiality.

Key Points: 
  • Meperia was audited against the AICPA Trust Services Criteria for Security, Availability, and Confidentiality.
  • The SOC 2 Type 2 examination provided assurance regarding the effectiveness of the company's controls over a period of time.
  • The effort was completed by the professional and independent third-party audit firm, 360 Advanced, Inc.
    "The SOC 2 process is complicated, lengthy, and detail-oriented.
  • Services provided include SOC 1, SOC 2, SOC 3, SOC for Cybersecurity, SOC for Supply Chain, CSA STAR, HIPAA/HITECH, ISO 27001, PCI-DSS, HITRUST CSF, Microsoft SSPA Attestation, Penetration Testing, GDPR, CCPA and more.

Avoiding the 17a-4 Quagmire - AdvisorVault's Guide for Small FINRA Firms

Retrieved on: 
Tuesday, August 4, 2020
United States securities law, Financial Industry Regulatory Authority, Regulatory compliance, SEC Rule 17a-4, Compliance cost, Regulation, Government, Law

TORONTO, Aug. 4, 2020 /PRNewswire/ --AdvisorVault, the expertson solving the data archiving demands of SEC rule 17a-4, announces a new guide for small FINRA firms.

Key Points: 
  • TORONTO, Aug. 4, 2020 /PRNewswire/ --AdvisorVault, the expertson solving the data archiving demands of SEC rule 17a-4, announces a new guide for small FINRA firms.
  • AdvisorVaulthas been lecturing firms, especially small ones, that they should constantly seek ways to keep data compliance costs as low as possible yet keep regulators happy.
  • Many know that small firms don't have in-house compliance or tech staff, and when they're trying to navigate data compliance, new questionscomeup all the time.
  • Our consolidated D3P service is designed specifically for small firms that need one vendor to help them satisfy today's demands surrounding data archiving and supervision.

ICO statement on the Competition and Markets Authority’s market study

Retrieved on: 
Wednesday, July 1, 2020
Government, Privacy, Competition and Markets Authority, Department for Business, Innovation and Skills, Regulation, Ofcom, Personal data, Communication, Articles

Simon McDougall, Executive Director for Technology and Innovation, said:

Key Points: 
  • Simon McDougall, Executive Director for Technology and Innovation, said:

    As data becomes ever more central to business models, the interaction between data protection and competition regulation increases.

  • The Competition and Markets Authoritys (CMA) Market Study highlights the cross regulatory issues that arise in todays digital landscape.
  • Giving people control over what happens to their personal data is central to data protection law in the UK and is also a vital element of consumer protection.
  • We look forward to working with the CMA and Ofcom through the Digital Regulation Cooperation Forum and the Digital Markets Taskforce, by contributing our expertise in data protection and e-privacy regulation to these important initiatives.