Regulatory & compliance archive

The week in GRC: Yahoo’s board acts over security breach and EU financial services chief warns about Trump rule rollback

Mar 02, 2017

10 min read

‒ Sam Woods, head of the Bank of England’s Prudential Regulation Authority, warned against rolling back reforms made in the wake...

Regulatory & compliance

SEC eyes company disclosure changes

Feb 27, 2017

By Ben Maiden

4 min read

Michael Piwowar The SEC will this week take its next steps toward revamping what information companies must release and how they...

Regulatory & compliance

The week in GRC: Expect US-first approach to regulation, Mnuchin says; and study finds banks have more female directors than most other industries

Feb 23, 2017

By Ben Maiden

9 min read

– The Wall Street Journal reported that Jay Clayton, a partner at Sullivan & Cromwell and President Donald Trump’s pick to chair...

Regulatory & compliance

OCC reminds banks of new-director notifications

Feb 22, 2017

By Ben Maiden

4 min read

Regulators have reminded compliance teams that banks in financial trouble that plan to refresh their board or executive team need...

Regulatory & compliance

FTC considering social media enforcement approach, official says

Feb 21, 2017

By Ben Maiden

2 min read

New leadership at the Federal Trade Commission (FTC) may lead to changes in the way it tackles social media-related enforcement...

Regulatory & compliance

The week in GRC: Unilever rejects $143 billion takeover and banks plan Trump risk disclosures

Feb 16, 2017

By Ben Maiden

9 min read

– Bloomberg reported that Daniel Tarullo, the Federal Reserve official who spearheaded the push to make banks safer after the...

Regulatory & compliance

The week in GRC: Passive asset management raises governance fears and groups file suit against rule reduction order

Feb 09, 2017

By Ben Maiden

11 min read

‒ The Wall Street Journal reported that the six biggest US banks could potentially return more than $100 billion in capital to...

Regulatory & compliance

OCC offers detailed view of third-party risk exams

Feb 08, 2017

By Ben Maiden

5 min read

Compliance and legal teams have been given insight into what regulators will be looking for when they assess how banks handle...

Regulatory & compliance

The week in GRC: Trump eyes fiduciary rule and Snap’s vote-less shares plan angers investors

Feb 02, 2017

By Ben Maiden

12 min read

– The Wall Street Journal reported that in the wake of Wells Fargo’s regulatory settlement over sales practices, the bank’s...

Regulatory & compliance

HSBC unit settles trade volume advertising case

Feb 01, 2017

By Ben Maiden

4 min read

HSBC Securities (USA) has agreed to pay a $575,000 fine and revise certain written supervisory procedures (WSPs) to settle...