SEC enforcers warn directors about insider trading amid Covid-19
The SEC’s top enforcers have warned directors and executives against taking advantage of developments arising from the Covid-19...
Regulatory & compliance archive
Canadian regulator provides regulatory filing extension due to Covid-19
The Canadian Securities Administrators (CSA) – the umbrella organization for regulatory bodies from 10 provinces and three...
California proposals offer CCPA clarification
The California Consumer Privacy Act (CCPA) went into effect on January 1, 2020, yet it did so with only initial draft regulations...
Cardinal Health resolves China-linked FCPA action
Dublin, Ohio-based Cardinal Health has agreed to pay more than $8 million to resolve allegations that it violated FCPA books and...
The week in GRC: Nissan CEO faces angry shareholders, and SEC presses firms on Chinese audits amid coronavirus
– The Guardian reported that companies paid out a record $1.43 trillion in dividends to shareholders around the world in 2019. The...
Diageo fined $5 million over alleged disclosure lapses
Alcohol company Diageo has agreed to pay a $5 million penalty to settle allegations that it failed to make necessary disclosures...
Handling California’s ambitious data-privacy law
It may seem like the days are long, but the weeks fly by when it comes to preparing for a major new regulatory compliance regime...
The week in GRC: Brexit may complicate global sanctions compliance, and SEC proposes MD&A changes
– CNBC reported that Swedish oil company Lundin Petroleum vowed to become carbon-neutral by 2030 and replace ‘Petroleum’ with...
SEC investor panel queries proxy reforms
The SEC should reconsider what it is trying to achieve in revamping the regulatory framework governing proxy advisers and...
Marsh & McLennan’s Kuratek has stellar governance year
It’s been a banner year for Marsh & McLennan Companies’ (MMC) Connor Kuratek, in which he traveled from one side of the world to...
