The week in GRC: Mifid II goes into effect, and pensions group urges board care on CEO pay
– According to Bloomberg, UK Brexit secretary David Davis said the EU cannot pick and choose which bits of its economic...
Regulatory & compliance archive
Citi unit settles research ratings case
Citigroup Global Markets (CGMI) has agreed to pay a total of around $11.5 million to settle allegations that over an almost five...
Preparing for the EU's new data protection regime
The EU and the US have very different privacy regimes. Although US privacy laws tend to be sector or topic-specific – such as the...
Pay ratio disclosure: How to tackle the SEC rule
Beginning in 2018, most publicly held companies will have to include in their proxy statements a ratio that compares the...
The week in GRC: Republicans pass tax bill and, in the House, vote in favor of proxy adviser reform bill
- The House of Representatives and the Senate voted to approve the $1.5 trillion US tax bill on Wednesday, Reuters reported. The...
Next Financial Group settles Finra supervisory case
Houston-based Next Financial Group will pay a $750,000 fine and hire an outside consultant to check the adequacy of various...
Finra looks into brokerages’ order routing
Regulators are looking into whether broker-dealers are being persuaded to place clients’ trades with exchanges or other centers...
Sifma targets fees and transparency before Reg NMS overhaul
The Securities Industry and Financial Markets Association (Sifma) has urged the SEC to get projects such as lowering exchange fees...
JPMorgan unit settles employee screening case
JPMorgan Securities has agreed to pay a $1.25 million fine and review certain of its systems and procedures to settle allegations...
Hong Kong governance proposals inadequate, activist warns
Hong Kong-based shareholder activist David Webb has warned that proposals issued by the special administrative region’s stock...
