The week in GRC: Pandemic puts squeeze on compliance teams, and whistleblower attorneys see boom
– CNBC reported that the NYSE trading floor, which had been closed since March 23 as a result of the Covid-19 pandemic, partially...
Regulatory & compliance archive
BIOMIN America settles Cuba sanctions case
Overland Park, Kansas-based BIOMIN America has paid $257,862 to settle its potential civil liability for ‘apparent violations’ of...
CalPERS raises concerns over MD&A reform plans
CalPERS has voiced concerns that SEC disclosure reforms would leave investors lacking key information – and raise particular...
Rule 14a-8 reforms would halt many resubmissions, CII argues
A new paper from the Council of Institutional Investors (CII) argues that parts of the SEC’s proposed changes to Rule 14a-8 would...
The week in GRC: Warren seeks to curb M&A during pandemic, and SEC creates Covid-19 monitoring group
– The SEC has created an internal, cross-divisional Covid-19 market monitoring group. The temporary group will help the commission...
General counsel urged to check insider trading policies during pandemic
General counsel should be taking steps to ensure their company is geared up to prevent insider trading that may arise from...
Silicon Valley lawyers ask SEC for e-signature boost
Attorneys from leading Silicon Valley law firms have called on the SEC to allow companies to use electronic signatures in their...
The week in GRC: Businesses seek post-pandemic liability curbs and Covid-19 raises corporate reputation risks
– The Wall Street Journal reported that major US companies are looking into ways to test their employees for Covid-19 before they...
The week in GRC: Pandemic hampers compliance monitors, and companies retooling amid Covid-19 face liabilities
– In an effort to chart the impact of the coronavirus pandemic on corporate America, The Wall Street Journal and MyLogIQ analyzed...
The week in GRC: SEC’s Clayton urges Covid-19 disclosures, and Starboard nominates six to Commvault board
– The Wall Street Journal reported that SeaWorld Entertainment CEO Sergio Rivera resigned from the company having been in the job...
