Regulatory & compliance archive

The week in GRC: CFPB to keep up enforcements, Treasury pick Mnuchin addresses bank rules, and more

Jan 26, 2017

9 min read

‒ According to Reuters, Herbalife revealed in a regulatory filing that the US government is investigating the dietary supplement...

Regulatory & compliance

Governance and legal pros consider wish lists for Trump era

Jan 24, 2017

By Ben Maiden

5 min read

As the Trump administration works through its first full week, corporate governance and legal professionals have a range of items...

Regulatory & compliance

HomeStreet settles accounting and whistleblower claims

Jan 23, 2017

By Ben Maiden

7 min read

HomeStreet has agreed to pay a $500,000 fine to settle SEC allegations that it conducted improper hedge accounting and later took...

Regulatory & compliance

CFTC spells out path to co-operation credit

Jan 23, 2017

By Ben Maiden

5 min read

Employees at derivatives-trading firms and related organizations have been given formal insight into how they can help things go...

Regulatory & compliance

The week in GRC: Wave of enforcements closed pre-Trump, more women in line to be CEOs, and more

Jan 19, 2017

By Ben Maiden

11 min read

– BlackRock is urging UK companies – the majority of which are preparing pay policies for a binding vote for the first time in the...

Regulatory & compliance

The week in GRC: GOP bills take aim at regulators, SEC releases exam priorities, and more

Jan 12, 2017

By Ben Maiden

9 min read

- The Financial Times reported that some of the world’s largest banks will spend more than $200 million each to implement new...

Regulatory & compliance

Brokerages face tougher recidivist scrutiny and remote exams

Jan 08, 2017

By Ben Maiden

7 min read

Broker-dealers can expect to face ramped-up regulatory focus in 2017 on how they handle employees with disciplinary histories –...

Regulatory & compliance

General Cable settles FCPA allegations

Jan 04, 2017

By Ben Maiden

6 min read

Highland Heights, Kentucky-based General Cable Corporation has agreed to pay a total of more than $75 million to settle SEC and US...

Regulatory & compliance

Citadel: Tick size pilot risks trading secrets

Jan 02, 2017

By Ben Maiden

5 min read

Regulators have failed to calm market maker Citadel Securities’ concerns that a program to test the impact of wider stock-pricing...

Regulatory & compliance

Morgan Stanley settles customer protection rule case

Dec 28, 2016

By Ben Maiden

5 min read

Morgan Stanley has agreed to pay a $2.75 million penalty to settle allegations that it had compliance lapses that led to it...