Regulatory & compliance archive

The week in GRC: SEC member Lee to step down after term ends and new law will require companies to report cyber-attacks

Mar 18, 2022

7 min read

– Reuters reported that Democratic SEC member Allison Herren Lee plans to leave the agency after her term ends in June, but will...

Regulatory & compliance

The week in GRC: SEC proposes cyber-security governance changes and FinCEN urges banks to watch for sanctions evasion

Mar 11, 2022

By Ben Maiden

6 min read

– The Wall Street Journal (paywall) reported that the Financial Crimes Enforcement Network (FinCEN) is warning financial...

Regulatory & compliance

SEC proposes new disclosure rules for short-sellers

Mar 04, 2022

By Tim Human

4 min read

Investors in the US must disclose long positions in stocks, but the same transparency has not been required for short sales. That...

Regulatory & compliance

The week in GRC: BlackRock eyes shareholder voting changes and DoJ to focus on white-collar crime victims

Mar 04, 2022

By Ben Maiden

7 min read

– The Wall Street Journal (pay wall) reported that the SEC is seeking more details from companies about their climate risks as it...

STOCKS - rivage-R401qwThw7w-unsplash - April 29 2024

Regulatory & compliance

SEC proposes cutting time for activists to reveal positions

Feb 17, 2022

By Tim Human

3 min read

Activist investors may find it more difficult to quietly build stakes in US companies after the SEC proposed changes to rules...

Regulatory & compliance

How to prepare for potential Russia sanctions

Feb 16, 2022

By Stephanie Brown Cripps

6 min read

This is a challenging moment for companies anticipating potential new or expanded sanctions targeting Russia. Although exactly...

Regulatory & compliance

The week in GRC: SEC proposes whistleblower rule changes and BlackRock names new risk chief

Feb 11, 2022

By Ben Maiden

8 min read

– The Wall Street Journal reported that as the Biden administration prepares a wave of new regulations, it is sparking resistance...

Regulatory & compliance

The week in GRC: SEC reopens comment process on executive pay rules and ESG experts join Prada board

Jan 28, 2022

By Ben Maiden

7 min read

– CNN reported that activist investor Blackwells Capital in an open letter said it had ‘grave concerns’ about Peloton’s...

Regulatory & compliance

Compliance group introduces framework for tackling CCO liability

Jan 19, 2022

By Ben Maiden

6 min read

The National Society of Compliance Professionals (NSCP) has released a framework that it hopes chief compliance officers (CCOs)...

Regulatory & compliance

The week in GRC: Banks create group to address climate risks and Engine No 1 eyes diversity and workforce issues

Jan 14, 2022

By Ben Maiden

5 min read

– The Wall Street Journal reported that the SEC is planning to require more transparency from big private companies, with...