OCC presses bank boards on vendor scrutiny
Banks need to keep close tabs on key outside vendors – and their boards must devise other ways to do so if such vendors aren’t...
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Regulatory & compliance archive
The week in GRC: Companies to defy Trump over leaving Paris accord, while Taubman wins proxy fight
– Business representatives and analysts have warned that China’s first cyber-security law will increase costs for multinationals...
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OCC eyes communications with boards over violations
Bank in-house legal and governance professionals have been offered more consistency when dealing with regulators over potential...
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Directors fear liability but fewer CCOs fret, study finds
Fewer chief compliance officers (CCOs) are living in fear of finding themselves on the wrong end of a lawsuit or regulatory probe...
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The week in GRC: Court questions powers of SEC judges, while BlackRock and Vanguard said to consider climate vote
– The Wall Street Journal reported that Ford named Jim Hackett, a former head of Steelcase who has been chairing Ford’s Smart...
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CFTC looks to encourage whistleblowing
Employees at broker-dealers and other firms in the derivatives industry are being given renewed encouragement to report to...
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Sifma criticizes municipal bond issuer health proposal
The Securities Industry and Financial Markets Association (Sifma) has raised concerns that plans to improve transparency about the...
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More CEOs fired for unethical behavior, study finds
CEOs may sometimes seem to be unassailable corporate leaders, but new research shows a growing number of them are facing the axe...
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The week in GRC: Activist investors take aim at CEOs, banks becoming confident of no new Glass-Steagall
– Companies and governments on Monday reported more infected computers stemming from a global cyber-attack, as IT departments...
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Sifma presses for consistency in brokerage fines
The Securities Industry and Financial Markets Association (Sifma) has raised concerns about what it says is an inconsistent...
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