Clashes between state and federal laws are creating regulatory and compliance challenges as pot legalization becomes the norm.
Joe Mont
Posted inRisk Management
The risks of outsourcing compliance
Using external firms and consultants can bolster the effectiveness of certain compliance functions. Abdicating too much responsibility, however, could draw the ire of regulators.
Posted inRisk Management
How to insulate your company from third-party risk
As firms increasingly turn to external partners, the risks they acquire can become an internal problem.
Posted inUncategorized
N.Y. State Pension Fund scrutinizes executive pay
The New York State Common Retirement Fund has reached agreements with Microsoft, CVS, Macy’s, TJX, and Salesforce.com to reexamine their executive pay policies.
Posted inUncategorized
NYDFS to get new leadership
New York Governor Andrew Cuomo has announced the nomination of Linda Lacewell to be superintendent of the state’s Department of Financial Services.
Posted inUncategorized
Brokers, banks launch new equities exchange
A group of nine leading retail broker-dealers, banks, and financial services firms have agreed to launch a new equities exchange, MEMX, or Members Exchange.
Posted inUncategorized
As government shutdown drags on, SEC offers guidance
Concerned about how the government shutdown will affect the SEC and filing obligations? The agency is offering several resources to provide some much-needed guidance.
Posted inRegulatory Enforcement
Disclosure reform an idea worth pursuing
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
Posted inRegulatory Enforcement
Unfinished business, lingering questions guide regulators into New Year
In 2019, regulators look to build on initiatives that began last year while tackling increased political tensions.
Posted inUncategorized
SEC expands use of Regulation A exemption
The SEC has enacted new rules that allow Exchange Act reporting companies to use the Regulation A exemption from registration for their securities offerings. Regulation A provides an exemption from registration for offerings of securities up to $50 million in a 12-month period.