SEC expands CIP relief for brokers
Broker-dealers have secured a pre-Christmas compliance boost: more time during which they will be able to use investment advisers...
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Regulatory & compliance archive
SEC faces more senior staff departures
The SEC has announced a series of senior staff departures, with top enforcement, corporate and risk analysis officials heading for...
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Credit Suisse unit fined $16.5 million over AML program
Credit Suisse Securities (USA) (CSSU) has been fined $16.5 million and will have to undertake a compliance review to settle...
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Citi unit settles compliance systems case
Citigroup Global Markets has agreed to pay an $850,000 fine to settle allegations its compliance systems and procedures were...
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Limit environmental fine disclosures, lawyers say
Law firm Shearman & Sterling has backed regulators’ efforts to simplify corporate disclosure rules – and has called for companies...
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Protecting seniors: Mixed reviews for Finra’s rule changes
Mutual fund and insurance industry groups have welcomed but pressed for changes to the latest regulatory initiative aimed at...
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SEC sees flurry of staff changes
The SEC has announced a series of changes among the ranks of its senior officials, including a new chief accountant and the...
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Board’s audit committee plays key role in company audits
Audit committees are responsible for oversight of a company’s financial statements and evaluating the integrity of the financial...
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SEC proposes mandatory hyperlinks in company filings
The SEC has proposed a new amendment that would require public filers to include hyperlinks to exhibits (or documents) in their...
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Reaching new heights: looking back, moving forward
The Society for Corporate Governance (formerly the Society of Corporate Secretaries and Governance Professionals) celebrated its...
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