How the DoJ’s new FCPA policy may affect companies
On November 29, 2017, Deputy Attorney General Rod Rosenstein announced the US Department of Justice’s (DoJ) new FCPA corporate...
Regulatory & compliance archive
Broker-dealers face disaster prep scrutiny
Broker-dealers will this year face renewed scrutiny of how they prepare for disasters such as severe weather, cyber-attacks and...
How Voya Financial takes a fresh approach on ethics
In 2017, Voya Financial released a video featuring staffers from its communications team offering lessons to colleagues on staying...
Visa CCO: Ethics approach needs 'empowerment with accountability'
Compliance and ethics programs strive to ensure not only that an organization follows the rules, but also that employees do the...
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The week in GRC: Mifid II goes into effect, and pensions group urges board care on CEO pay
– According to Bloomberg, UK Brexit secretary David Davis said the EU cannot pick and choose which bits of its economic...
Citi unit settles research ratings case
Citigroup Global Markets (CGMI) has agreed to pay a total of around $11.5 million to settle allegations that over an almost five...
Preparing for the EU's new data protection regime
The EU and the US have very different privacy regimes. Although US privacy laws tend to be sector or topic-specific – such as the...
Pay ratio disclosure: How to tackle the SEC rule
Beginning in 2018, most publicly held companies will have to include in their proxy statements a ratio that compares the...
The week in GRC: Republicans pass tax bill and, in the House, vote in favor of proxy adviser reform bill
- The House of Representatives and the Senate voted to approve the $1.5 trillion US tax bill on Wednesday, Reuters reported. The...
Next Financial Group settles Finra supervisory case
Houston-based Next Financial Group will pay a $750,000 fine and hire an outside consultant to check the adequacy of various...
