Investor group warns against Dodd-Frank rollback
A large US investor group has voiced its opposition to Republican plans to roll back large chunks of the post-financial crisis...
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Regulatory & compliance archive
The week in GRC:Â Support grows for new Glass-Steagall and companies resist proxy access votes
– The Financial Times reported that support is emerging for a watered-down version of the Glass-Steagall Act following renewed...
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Fiduciary rule delay fails to pacify Sifma
The decision to delay – and presidential skepticism of – requirements for brokers to act in the best interests of retirement...
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The week in GRC:Â Wells Fargo issues internal probe report and Arconic says board change vote could trigger $500 million payment
– Wells Fargo’s board said it had clawed back an additional $75 million of pay from two former executives it holds largely...
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Attorney group warns on muni bond reform plan
Clifford Gerber A group representing more than 2,700 lawyers believes brokerage firms face drastically greater compliance burdens...
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The week in GRC:Â BlackRock nominates Cisco chief as director and BP cuts CEO pay after shareholder vote
– The New York Times reported that at a gathering of the nation’s top M&A lawyers and bankers, the consensus was that deal making...
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Sifma calls for modernization of Reg NMS
The Securities Industry and Financial Markets Association (Sifma) has urged the SEC to revamp a landmark set of rules designed a...
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The week in GRC:Â Companies face post-Brexit changes and GOP senators urge too-big-to-fail process review
– The AFL-CIO will sue if the US Department of Labor (DoL) tries to water down an increase in overtime eligibility put in place by...
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Ex-prosecutor urges caution on FCPA self-reporting
Pravin Rao It remains unclear how the US Department of Justice (DoJ) will handle corporate bribery cases in the future, but that...
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The week in GRC: Don’t delay CEO pay rule, says Calpers, and SEC nominee testifies
– The Wall Street Journal reported that median pay for the CEOs of 104 of the biggest US companies rose 6.8 percent for fiscal...
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