Issuers advised on tackling unclaimed property audit
Issuers, brokerage firms and transfer agents face an array of headaches – and potentially very large bills – when they are...
Regulatory & compliance archive
Prep for T+2 said to be on target
Industry officials have expressed optimism about the progress being made by firms to prepare for quicker securities settlements...
SEC expands private reviews of IPO plans
Starting today, a greater range of companies will be able to have their initial plans to go public reviewed away from the public’s...
The week in GRC: UK regulator and business group eye Brexit transition, and CEOs being replaced at faster rate
– In the first five months of 2017, 13 companies with market values of more than $40 billion installed new CEOs, more than double...
SEC’s Piwowar eyes proxy adviser registration
Proxy advisory firms could have to cross a number of regulatory hurdles if a member of the SEC has his way. Commissioner Michael...
SEC’s Piwowar eyes proxy adviser registration
Proxy advisory firms could have to cross a number of regulatory hurdles if a member of the SEC has his way. Commissioner Michael...
US firms must prepare for data privacy law
US companies could be at risk of multi-million-dollar fines if they do not respond to the upcoming changes in EU data privacy...
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The week in GRC: Google faces record antitrust fine, and Walgreens and Rite Aid merger hits the rocks
– Bloomberg reported that Dan Loeb had amassed a $3.5 billion stake in Nestlé, targeting Europe’s largest company in the biggest...
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Getting ready for the Finra seniors rule
The SEC in March gave its approval for the Financial Industry Regulatory Authority (Finra) to adopt Finra Rule 2165 and related...
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Institutional investors split over Dodd-Frank rollback, poll finds
The investment community is split by size over Republican plans to replace the Dodd-Frank Act, according to new research. Forty...
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