OCC eyes banks’ preparations for T+2
Regulators have laid out road markers for how banks can develop their plans for implementing quicker securities settlements, which...
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Regulatory & compliance archive
State officials oppose GOP governance reforms
Republican efforts to water down corporate governance regulations – including those governing the ability of investors to file...
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Unclaimed property and T+2 to feature at SSA conference
Unclaimed property, speedier settlements and virtual meetings are among the issues facing shareholder services professionals and...
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The week in GRC:Â House passes roll-back legislation on Dodd-Frank and DoL fiduciary rule comes into effect
– According to the Financial Times, a new SEC team is expected to preside over a decline in both enforcement actions and penalties...
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OCC presses bank boards on vendor scrutiny
Banks need to keep close tabs on key outside vendors – and their boards must devise other ways to do so if such vendors aren’t...
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The week in GRC:Â Companies to defy Trump over leaving Paris accord, while Taubman wins proxy fight
– Business representatives and analysts have warned that China’s first cyber-security law will increase costs for multinationals...
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OCC eyes communications with boards over violations
Bank in-house legal and governance professionals have been offered more consistency when dealing with regulators over potential...
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Directors fear liability but fewer CCOs fret, study finds
Fewer chief compliance officers (CCOs) are living in fear of finding themselves on the wrong end of a lawsuit or regulatory probe...
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The week in GRC:Â Court questions powers of SEC judges, while BlackRock and Vanguard said to consider climate vote
– The Wall Street Journal reported that Ford named Jim Hackett, a former head of Steelcase who has been chairing Ford’s Smart...
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CFTC looks to encourage whistleblowing
Employees at broker-dealers and other firms in the derivatives industry are being given renewed encouragement to report to...
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