GM balks at SEC’s disclosure update plan
General Motors (GM) officials have raised concerns about aspects of SEC plans to revamp corporate disclosures. The commission in...
Regulatory & compliance archive
The week in GRC: Investors challenge SEC on proxy adviser guidance, and FINRA releases exam findings
– CNN reported that Boeing’s board of directors voted on October 11 to remove CEO Dennis Muilenburg’s role as chair. The board...
CII ramps up pursuit of dual-class sunsets
The Council of Institutional Investors (CII) has asked the SEC to seek authority enabling the commission to, in effect, require...
Barclays settles FCPA allegations over Asia hires
Barclays has agreed to pay a total of $6.3 million to resolve allegations that the UK-based bank violated the FCPA through...
Fiat Chrysler Automobiles US settles sales reporting case
Fiat Chrysler Automobiles (FCA NV) and its Auburn Hills, Michigan-based subsidiary FCA US have agreed to pay $40 million to settle...
Senators introduce bill to extend whistleblower protection
A bipartisan group of senators this week introduced a bill designed to expand the scope of protection for whistleblowers who bring...
SEC’s Clayton bemoans international anti-graft enforcement
SEC chair Jay Clayton has expressed concern that, in his view, some authorities around the world are not doing what they should to...
Juniper Networks settles FCPA enforcement
Sunnyvale, California-based Juniper Networks has agreed to pay almost $12 million to settle allegations that it violated the FCPA...
Deutsche Bank settles FCPA action over hiring allegations
Deutsche Bank has agreed to pay more than $16 million to settle claims it violated the FCPA through recruitment practices outside...
TherapeuticsMD settles Reg FD action
Boca Raton, Florida-based TherapeuticsMD has agreed to pay a $200,000 penalty to settle allegations it violated Regulation Fair...
