Regulatory & compliance archive

The week in GRC: Google faces record antitrust fine, and Walgreens and Rite Aid merger hits the rocks

Jun 29, 2017

10 min read

– Bloomberg reported that Dan Loeb had amassed a $3.5 billion stake in Nestlé, targeting Europe’s largest company in the biggest...

Regulatory & compliance

Getting ready for the Finra seniors rule

Jun 27, 2017

By Clifford Kirsch and Sarah Razaq Sallis

5 min read

The SEC in March gave its approval for the Financial Industry Regulatory Authority (Finra) to adopt Finra Rule 2165 and related...

Regulatory & compliance

Institutional investors split over Dodd-Frank rollback, poll finds

Jun 27, 2017

By Ben Ashwell

4 min read

The investment community is split by size over Republican plans to replace the Dodd-Frank Act, according to new research. Forty...

Regulatory & compliance

The week in GRC: FTSE Russell said to consider curbs on unequal voting rights, and regulators support Volcker rule rethink

Jun 22, 2017

By Ben Maiden

13 min read

– Some cyber-attacks on hospitals involving ransomware don’t appear on the US Department of Health and Human Services’ (HHS)...

Regulatory & compliance

Finra takes new steps against high-risk brokers

Jun 18, 2017

By Ben Maiden

3 min read

The Financial Industry Regulatory Authority (Finra) is stepping up its efforts to clamp down on so-called bad-actor brokers and...

Regulatory & compliance

The week in GRC: Boards said to weaken oversight via excessive independence and Treasury plans post-crisis rulebook overhaul

Jun 15, 2017

By Ben Maiden

10 min read

– The Financial Times reported that Jeff Immelt has stepped down as CEO of General Electric (GE) after 16 years. The company...

Regulatory & compliance

OCC eyes banks’ preparations for T+2

Jun 13, 2017

By Ben Maiden

4 min read

Regulators have laid out road markers for how banks can develop their plans for implementing quicker securities settlements, which...

Regulatory & compliance

State officials oppose GOP governance reforms

Jun 12, 2017

By Ben Maiden

5 min read

Republican efforts to water down corporate governance regulations – including those governing the ability of investors to file...

Regulatory & compliance

Unclaimed property and T+2 to feature at SSA conference

Jun 11, 2017

By Ben Maiden

4 min read

Unclaimed property, speedier settlements and virtual meetings are among the issues facing shareholder services professionals and...

Regulatory & compliance

The week in GRC: House passes roll-back legislation on Dodd-Frank and DoL fiduciary rule comes into effect

Jun 08, 2017

By Ben Maiden

10 min read

– According to the Financial Times, a new SEC team is expected to preside over a decline in both enforcement actions and penalties...