CFTC eyes greater board access to CCO reports
The top US derivatives regulator is planning to give greater exposure across boards to reports on their firms’ efforts to comply...
Read More
Regulatory & compliance archive
The week in GRC: DoL fiduciary rule proves hard to kill and SEC gets new leader
– The New York Times reported that local television stations are at the center of a deal-making frenzy. A day after the Federal...
Read More
The week in GRC: Wells Fargo directors face shareholder rebellion and WPP appeases investors over CEO pay
– The Financial Times said a shareholder vote against Wells Fargo directors was larger than anything seen at a big US bank during...
Read More
Investor group warns against Dodd-Frank rollback
A large US investor group has voiced its opposition to Republican plans to roll back large chunks of the post-financial crisis...
Read More
The week in GRC: Support grows for new Glass-Steagall and companies resist proxy access votes
– The Financial Times reported that support is emerging for a watered-down version of the Glass-Steagall Act following renewed...
Read More
Fiduciary rule delay fails to pacify Sifma
The decision to delay – and presidential skepticism of – requirements for brokers to act in the best interests of retirement...
Read More
The week in GRC: Wells Fargo issues internal probe report and Arconic says board change vote could trigger $500 million payment
– Wells Fargo’s board said it had clawed back an additional $75 million of pay from two former executives it holds largely...
Read More
Attorney group warns on muni bond reform plan
Clifford Gerber A group representing more than 2,700 lawyers believes brokerage firms face drastically greater compliance burdens...
Read More
The week in GRC: BlackRock nominates Cisco chief as director and BP cuts CEO pay after shareholder vote
– The New York Times reported that at a gathering of the nation’s top M&A lawyers and bankers, the consensus was that deal making...
Read More
Sifma calls for modernization of Reg NMS
The Securities Industry and Financial Markets Association (Sifma) has urged the SEC to revamp a landmark set of rules designed a...
Read More
