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Tesla to phase out four board members
Tesla disclosed in a filing with the Securities and Exchange Commission that four of its directors eventually will be phased out, reducing the size of its board to seven.
FCA and the future of financial conduct regulation
Post-Brexit, FCA Chief Executive Andrew Bailey says the agency will take a “lower burden” regulatory approach than that of the European Union.
Washington state privacy legislation fades, for now
The second proposed data privacy regulation in the nation has failed to come to fruition for the time being.
Facebook appoints new general counsel
Facebook has appointed both a new general counsel and a vice president of communications, as the social media giant faces mounting regulatory and public scrutiny—mostly around its privacy practices.
- Partner Content | Financial Services
Preparing for new credit loss rules
Banks and other financial institutions have a lot of work ahead of them as they prepare to adopt the new standard on reflecting credit losses in financial instruments (the so-called CECL standard).
OCIE issues risk alert on Regulation S-P
The Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.
Best practices for managing employee reports
A recent report from NAVEX Global offers a look at how the performance of ethics and compliance officers' hotline and incident management systems stack up against their peers.
Audit committees advised: Be cautious if PCAOB calls
The PCAOB wants to engage more directly with audit committees, but they may get a cool response from some audit committee members wary of the risks.
Accounting class action filing still high, report says
Accounting class action filings in 2018 remained “uncharacteristically high,” according to the latest analysis by Cornerstone Research.