AML teams told to look for wider risks
A top regulator has urged broker-dealers to combine their anti-money laundering (AML) and other compliance efforts to help tackle...
Read More
Boardroom archive
SEC eases path for filing annual broker-dealer reports
Broker-dealer compliance teams received some good news recently when the SEC took steps to make it easier for them to meet their...
Read More
NY regulator criticizes fintech bank license plan
New York regulators have criticized plans to license certain technology firms offering banking products and services, pointing to...
Read More
Activist shareholders consider the value of diverse boardrooms
Is it possible to rapidly increase shareholder value and promote diverse boards at the same time? Is a homogeneous board an...
Read More
Industry groups urge caution on fintech bank licenses
Financial services industry groups have sounded a note of caution – and concern over competition – as bank regulators consider...
Read More
Reit investors reportedly concerned about succession plans
Investors in the real estate industry ‒ and specifically in real estate investment trusts (Reits) ‒ want more clarity about firms’...
Read More
NACD and ISA press board oversight on cyber-security
The National Association of Corporate Directors (NACD) and Internet Security Alliance (ISA) have called for greater board...
Read More
2017 preview: Audit committees expect difficult year
Audit committees are buckling up for a rocky year, citing the effectiveness of their companies’ risk-management programs as their...
Read More
Study finds minority and female directors earn less than peers
Adam Yore Minority and female (or diverse) directors earn significantly more than non-diverse board members, according to an...
Read More
Study finds improving vendor risk-management programs
Increased regulatory scrutiny and cyber-security concerns are leading many companies to become more sophisticated in their...
Read More
