The pre-Thanksgiving week in GRC: FCC targets net neutrality rules, and DoJ sues to block AT&T-Time Warner deal
– The Wall Street Journal reported that a revamp of General Electric’s (GE) board will remove many long-term associates of former...
Regulatory & compliance archive
FCC hires general counsel amid rules overhaul
The Federal Communications Commission has recruited Thomas Johnson, Jr as general counsel, at a time when it is seeking to remove...
SEC grants US brokers Mifid II compliance extension
The SEC has given US brokers a 30-month reprieve from having to make tough decisions on complying with the research unbundling...
Compliance with UK governance code rises
Compliance with the UK Corporate Governance Code has increased among large companies, but governance and reporting remain patchy...
The week in GRC: Trump names FTC pick, and SEC appoints new market oversight chief
– Bloomberg reported that Gary Cohn, President Donald Trump’s chief economic adviser, said he sees a major risk evolving in...
Wells Fargo broker-dealers to refund clients over ETP picks
Two Wells Fargo brokerage units have agreed to pay roughly $3.4 million in restitution to clients for allegedly making unsuitable...
Boards urged to seek compliance data reports
Boards need to ensure they have sufficient oversight of their company’s ethics and compliance policies and procedures, including...
Morgan Stanley settles UIT sales supervision case
Morgan Stanley Smith Barney (Morgan Stanley) has agreed to pay roughly $13 million to settle allegations it lacked the proper...
Telia settles FCPA allegations
Sweden-based telecommunications operator Telia Company has agreed to pay more than $965 million in a global settlement with US...
SEC’s New York exam team sees leadership changes
Asset management firms operating in New York and New Jersey will be seeing changes in the leadership of the regulatory team...
