Regulatory & compliance archive

Companies defended by former SEC lawyers may suffer greater penalties, study shows

Aug 07, 2012

2 min read

Former lawyers for the SEC who are hired by private firms to defend against SEC-related cases are more likely to suffer stricter...

Regulatory & compliance

CSCS chairman seeks five-year plan to fix Canadian proxy system

Aug 05, 2012

By Matthew Scott

3 min read

David Masse, chairman of the Canadian Society of Corporate Secretaries (CSCS), says the initial meeting he organized in July...

Regulatory & compliance

Knight Capital Group errant trading sparks call for market overhaul, preventative measures

Aug 05, 2012

By Adam Brown

3 min read

Last week the SEC contracted a firm to collect real-time data from US stock exchanges in order to better police high-frequency...

Regulatory & compliance

Recalculating human rights risks

Jul 29, 2012

By Erik Sherman

9 min read

When it comes to human rights issues, Apple is in a no-win situation. Since 2006, it has received heavy criticism over worker...

Regulatory & compliance

Morgan Stanley uses its compliance program as a defense

Jul 25, 2012

By Thomas Fox

2 min read

Recently, Garth Peterson, a former managing director of Morgan Stanley’s real estate business in China, was criminally prosecuted...

Regulatory & compliance

Ten events that have changed corporate governance

Jul 17, 2012

By Aarti Maharaj

11 min read

Ten years ago, corporate governance was still in the concept stage. There wasn’t much information available to the public about...

Regulatory & compliance

How JP Morgan is meeting regulatory challenges

Jul 10, 2012

By Aarti Maharaj

11 min read

When Matthew Biben was promoted to the new role of general counsel for JPMorgan Chase’s consumer businesses, he knew that dealing...

Regulatory & compliance

Three ways FCPA compliance officers can better engage operations

Jul 04, 2012

By Matt Ellis

4 min read

Paper programs alone are insufficient. The Wal-Mart case and others tell us this. Instead, employees throughout a company must...

Regulatory & compliance

UK Bribery Act update: one year on

Jun 26, 2012

By Aarti Maharaj

2 min read

Less than 10 percent of business and legal professionals are concerned about the UK Bribery Act, according to a new Deloitte poll...

Regulatory & compliance

Le shareholder spring

Jun 24, 2012

By Candice de Monts-Petit

2 min read

The shareholder spring is spreading throughout Europe and it seems France is no exception, with unrest over executive pay evident...