Regulatory & compliance archive

Compliance with the UK Corporate Governance Code has increased among large companies, but governance and reporting remain patchy...

– Bloomberg reported that Gary Cohn, President Donald Trump’s chief economic adviser, said he sees a major risk evolving in...

Two Wells Fargo brokerage units have agreed to pay roughly $3.4 million in restitution to clients for allegedly making unsuitable...

Boards need to ensure they have sufficient oversight of their company’s ethics and compliance policies and procedures, including...

Morgan Stanley Smith Barney (Morgan Stanley) has agreed to pay roughly $13 million to settle allegations it lacked the proper...

Sweden-based telecommunications operator Telia Company has agreed to pay more than $965 million in a global settlement with US...

Asset management firms operating in New York and New Jersey will be seeing changes in the leadership of the regulatory team...

– The New York Times reported that New York Governor Andrew Cuomo proposed regulations that would subject credit reporting...

The investment services subsidiary of SunTrust Banks has agreed to pay more than $1 million to settle allegations that it...

Robert Jackson, a prominent professor at Columbia Law School, will be nominated for the SEC’s remaining vacant Democratic...