Regulatory & compliance archive
SEC’s Peirce raises concerns over CCO liability
SEC member Hester Peirce has raised concerns about the potential regulatory liabilities facing chief compliance officers (CCOs)...
The week in GRC: SEC changes auditor independence rules, and Yale investment chief seeks money manager diversity
– Reuters reported that, according to lawyers, lobbyists and policy experts, a decade-long Republican campaign to weaken the...
States adopt different approaches to workers’ compensation-coverage issues amid Covid-19
Workers’ compensation insurance was created at the beginning of the 20th century as a ‘grand bargain’ to provide guaranteed, no...
Governance Matters: How the role of the corporate secretary has evolved
The week in GRC: Covid-19 creates legal minefield, and DoJ eyes tech industry liability shield
– The Wall Street Journal reported that the US Department of the Treasury moved to fill a gap in the country’s anti-money...
Opinion: SEC reforms offer mixed bag for whistleblowers
The SEC on Wednesday voted 3-2 to adopt amendments to the rules governing the agency’s whistleblower program. Now about a decade...
The week in GRC: BlackRock discloses votes against climate crisis laggards, and SEC postpones Rule 14a-8 vote
– According to CNBC, the philanthropic investment group created by eBay founder Pierre Omidyar intends to convince business...
General counsel launches ethics oath for in-house leaders
The general counsel of a UK-based digital marketing communications company has created a professional oath he hopes will be taken...
Herbalife to pay $122 million to resolve FCPA actions
Herbalife Nutrition has agreed to pay a total of roughly $122 million to settle allegations that it violated the books and records...