BNY Mellon unveils regulatory feature
A new library that consists of global financial regulatory changes has been released by BNY Mellon Asset division to help...
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Regulatory & compliance archive
Whistleblower suit against JP Morgan tossed out
A federal judge recently dismissed a whistleblower lawsuit by a former JP Morgan Chase private banker who claims that she was...
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OSC calls for public comment on governance reforms
The Ontario Securities Commission (OSC) has decided to seek comment from the public regarding the role shareholders play when...
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OSC calls for public comment on governance reforms
The Ontario Securities Commission (OSC) has decided to seek comment from the public regarding the role shareholders play when...
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What to do when the FCPA strikes
These four dreaded words have begun evoking fear in the hearts and wallets of business executives across the US and around the...
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Investors initiate litigation against Fortis
International investors are flexing their muscles in a suit against one-time financial services giant Fortis NV, now referred to...
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Spring voting season to muster CEO pay package reforms
Some 49 percent of companies are split on how often they should put its executive compensation programs to a nonbinding say-on-pay...
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Alcatel alleviates bribery probe with settlement agreement
On Monday, the Securities and Exchange Commission (SEC) accused the firm of violating the Foreign Corrupt Practices Act (FCPA) by...
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Taking action on Dodd-Frank clawbacks
The requirement will not be made effective, however, until the SEC issues interpretive guidance. This guidance is expected between...
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Time for an Ombudsman
The whistleblower provisions in the Dodd-Frank legislation present a unique challenge to corporate executives and directors...
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