Attorney group warns on muni bond reform plan
Clifford Gerber A group representing more than 2,700 lawyers believes brokerage firms face drastically greater compliance burdens...
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Regulatory & compliance archive
The week in GRC: BlackRock nominates Cisco chief as director and BP cuts CEO pay after shareholder vote
– The New York Times reported that at a gathering of the nation’s top M&A lawyers and bankers, the consensus was that deal making...
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Sifma calls for modernization of Reg NMS
The Securities Industry and Financial Markets Association (Sifma) has urged the SEC to revamp a landmark set of rules designed a...
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The week in GRC: Companies face post-Brexit changes and GOP senators urge too-big-to-fail process review
– The AFL-CIO will sue if the US Department of Labor (DoL) tries to water down an increase in overtime eligibility put in place by...
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Ex-prosecutor urges caution on FCPA self-reporting
Pravin Rao It remains unclear how the US Department of Justice (DoJ) will handle corporate bribery cases in the future, but that...
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The week in GRC: Don’t delay CEO pay rule, says Calpers, and SEC nominee testifies
– The Wall Street Journal reported that median pay for the CEOs of 104 of the biggest US companies rose 6.8 percent for fiscal...
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NY Fed chief urges progress on banking culture
William Dudley Federal Reserve Bank of New York president and CEO William Dudley has again called for firms to address their...
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The week in GRC: FDIC’s Hoenig eyes investment banking partitions and the OCC moves ahead on fintech licenses
– The New York Times reported that, although Chinese firms struck a record-breaking $225 billion in deals to acquire companies...
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The week in GRC: Republicans face troubles in gutting Dodd-Frank and EU countries eye London-based regulators
‒ Bloomberg reported that the SEC’s division of enforcement is imposing a series of cuts as it braces for deep spending reductions...
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Californian bank fined $7 million in AML case
A Carson, California-based bank has agreed to pay a $7 million fine to settle what regulators called ‘willful’ violations of anti...
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