Industry groups urge reforms to boost IPOs
A coalition of business groups has issued a wish-list of reforms on issues ranging from research coverage to corporate governance...
Regulatory & compliance archive
Institutional investors lukewarm on CEO pay-ratio disclosure
This spring, US companies are for the first time reporting their CEOs’ pay relative to median worker pay. But despite months of...
The week in GRC: Study finds companies lagging on GDPR prep, and JPMorgan launches ESG bond index
– Bloomberg reported that Elliott Management Corp, the activist fund firm headed by Paul Singer, stepped up its pressure on...
The week in GRC: Wells Fargo to pay $1 billion to settle probes, and Cuomo pressures banks over NRA ties
– The Financial Times reported that BlackRock founder and CEO Larry Fink made $28 million last year, up by nearly 10 percent from...
Canadian mining company settles FCPA case
A Canadian gold mining company has agreed to pay $950,000 to settle allegations that it violated anti-corruption legislation by...
IEX pushes corporate buyback protection
The US exchange made famous by its plan to go up against high-frequency traders is calling for regulators to allow companies to...
NYSE relieves companies of proxy material mailing requirements
Companies grappling with the stress and workload of the proxy season got a little good news earlier this month when the SEC gave...
How to protect against subsidiary liability
Companies both large and small enter new ventures all the time. Netflix was originally a DVD delivery service, Amazon sold only...
SEC’s Jackson warns about mandatory arb in IPOs
A top securities regular has warned against allowing companies that are going public to use the process to force shareholders to...
Mifid II: US small caps said to eye paid-for research
Increasing numbers of small-cap companies in the US are considering commissioning research in an effort to offset any negative...
