Regulatory & compliance archive

Regulators pushing more personal liability for senior officers, Thomson Reuters says

Nov 19, 2015

4 min read

A pervasive belief that regulators have not held senior executives accountable for conduct and events that led to the financial...

Regulatory & compliance

Vatican Bank: big assets, questionable governance

Nov 03, 2015

By David Bogoslaw

6 min read

In the first days of his papacy, Pope Francis declared: 'How I would like to see a church that is poor and is for the poor' —...

Regulatory & compliance

Proxy advisers' role: who's happy now?

Oct 21, 2015

By Elizabeth Judd

10 min read

Public companies and proxy advisers have been engaged in a heated feud from almost the moment ISS and Glass Lewis arrived on the...

Regulatory & compliance

Compliance lessons for JVs from Bristol-Myers FCPA settlement

Oct 13, 2015

By Abigail Caplovitz Field

5 min read

Bristol-Myers Squibb (BMS) recently settled Foreign Corrupt Practices Act (FCPA) charges with the SEC for $14 million. The...

Regulatory & compliance

European court’s decision compels rethink of data privacy practices

Oct 07, 2015

By Abigail Caplovitz Field

5 min read

A decision handed down by the European Court of Justice (ECJ) -- the EU’s highest court -- on October 6 will force roughly 4,500...

Regulatory & compliance

More companies admit to difficulty of staying on top of corruption

Sep 14, 2015

By Sheryl Nance-Nash

4 min read

There is lots of room for improvement in companies’ anti-bribery and corruption (ABC) compliance programs, according to the...

Regulatory & compliance

Second Circuit rules Dodd-Frank safeguards also apply to internal whistleblowers

Sep 13, 2015

By Abigail Caplovitz Field

4 min read

The strong and lucrative protections that whistleblowers are guaranteed under the Dodd-Frank Act are no longer limited to those...

Regulatory & compliance

Democrats call on SEC to force firms to disclose political spending

Sep 09, 2015

By Adam Brown

2 min read

A group of 44 US senators are calling on SEC chairman Mary Jo White to oblige companies to tell investors how much money they...

Regulatory & compliance

US appeals court rejects SEC requirement for conflict minerals disclosure

Sep 01, 2015

By Adam Brown

2 min read

A US appeals court has ruled that the SEC can’t oblige companies to disclose whether their products have minerals from conflict...

Regulatory & compliance

FTC guidance relies on Sherman, Clayton Acts in future enforcement of ‘unfair competition’

Aug 25, 2015

By Matthew Scott

3 min read

The US Federal Trade Commission recently issued guidance on its enforcement efforts against ‘unfair methods of competition’...