Directors fear liability but fewer CCOs fret, study finds
Fewer chief compliance officers (CCOs) are living in fear of finding themselves on the wrong end of a lawsuit or regulatory probe...
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Regulatory & compliance archive
The week in GRC: Court questions powers of SEC judges, while BlackRock and Vanguard said to consider climate vote
– The Wall Street Journal reported that Ford named Jim Hackett, a former head of Steelcase who has been chairing Ford’s Smart...
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CFTC looks to encourage whistleblowing
Employees at broker-dealers and other firms in the derivatives industry are being given renewed encouragement to report to...
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Sifma criticizes municipal bond issuer health proposal
The Securities Industry and Financial Markets Association (Sifma) has raised concerns that plans to improve transparency about the...
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More CEOs fired for unethical behavior, study finds
CEOs may sometimes seem to be unassailable corporate leaders, but new research shows a growing number of them are facing the axe...
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The week in GRC: Activist investors take aim at CEOs, banks becoming confident of no new Glass-Steagall
– Companies and governments on Monday reported more infected computers stemming from a global cyber-attack, as IT departments...
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Sifma presses for consistency in brokerage fines
The Securities Industry and Financial Markets Association (Sifma) has raised concerns about what it says is an inconsistent...
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Regulation not driving IPO decline, industry officials say
Industry professionals told an SEC forum earlier this week that regulation is not the key to the declining US IPO market, citing...
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The week in GRC: Whole Foods revamps board and SEC appoints new head of corporation finance
– The New York Times reported that Dutch chemicals company AkzoNobel rejected a merger offer from US rival PPG Industries, its...
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Boards seek Dodd-Frank tweaks, not repeal, study suggests
As the Trump administration starts to assess which parts of the post-financial regulatory landscape to change, new research...
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