Law firm questions SEC’s whistleblower plans
Attorneys at Kohn, Kohn & Colapinto have raised concerns that the SEC is at risk of undermining post-financial crisis efforts to...
Regulatory & compliance archive
CII lobbies directors over SEC’s transaction-fee pilot
The boards of almost 40 public companies face pushback over their apparent opposition to an SEC pilot scheme that would limit the...
The week in GRC: Papa John’s founder sues over board disclosures, and US guides on sanctions compliance
– The Wall Street Journal reported that the highest-paid CEO in the retail industry was Stephen Kaufer of the online travel...
Proxy adviser reform act begins Senate process
The US Senate Banking Committee began proceedings in late June to hear the Corporate Governance Reform Act – also dubbed the Proxy...
SEC’s transaction-fee pilot sparks lively debate
Issuers, investors and national stock exchanges are divided over the need for – and process behind the creation of – an SEC pilot...
Society backs governance reforms
The Society for Corporate Governance is backing legislative proposals that address proxy advisers and activist investors and, in...
NY Fed chief urges focus on bank culture
The head of the New York Federal Reserve has called for bank boards to ensure their companies’ behavior and values are in good...
Nasdaq targets more attractive US public markets
It has been well documented that the number of US public companies has halved since its peak in 1997, with many potential reasons...
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The week in GRC: SEC’s Clayton says bulk of Dodd-Frank to stay, and investors balk at research tracking
– The New York Times noted that the Federal Communications Commission’s repeal of net neutrality rules – which had required...
SEC’s Jackson urges buyback rules review
A senior regulator has called for curbs on company executives using share buybacks to cash out – and for boards to keep tabs on...
