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...
Regulatory & compliance archive
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...
SEC disclosure proposal sharpens human capital focus
The inclusion of human capital matters in regulatory plans to revamp corporate disclosures is likely to attract attention and...
The week in GRC: Companies tell investors about gun violence risks, and SEC proposes updated disclosure rules
– CNN reported that HSBC CEO John Flint is stepping down after less than two years in the role. The bank said in a statement that...
CII backs long-term focus of new exchange’s rules
The Council of Institutional Investors (CII) has welcomed plans by a start-up exchange to require member companies to develop...
Citi unit fined over employee screening allegations
Citigroup Global Markets will pay a $1.25 million fine for allegedly failing to conduct timely or adequate background checks on...
CII criticizes dropping smaller company ICFR auditor attestations
The Council of Institutional Investors (CII) has added its voice to those concerned by SEC plans to exempt smaller companies from...
The week in GRC: DoJ launching antitrust review of big tech firms, and sanctions enforcement fines increase
– CNN reported that credit reporting agency Equifax reached a deal to pay up to $700 million to state and federal regulators to...
Grant Thornton queries auditor attestation on ICFR proposal
Grant Thornton has raised concerns about a plan to exempt smaller companies from a key component of the Sarbanes-Oxley Act reforms...
Facebook settles SEC complaint about data misuse disclosure
Facebook has agreed to pay $100 million to settle SEC allegations that it made misleading disclosures regarding the risk of misuse...
