The SEC has adopted amendments to improve and modernize disclosures by mining companies. The changes are intended to provide investors with “a more comprehensive understanding of a registrant’s mining properties.”
Joe Mont
Posted inUncategorized
SEC rule adds new customer disclosures for brokers
The SEC has advanced new rules and amendments that that will require broker-dealers to disclose to investors “new and enhanced information about the way they handle investors’ orders.”
Posted inUncategorized
Data privacy bill threatens corporate fines, jail for executives
Sen. Ron Wyden (D-Ore.) has announced proposed legislation that would “impose harsh fines and prison terms for executives at corporations that misuse Americans’ data.”
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FDA, DHS partner on medical device cyber-security
The Food and Drug Administration and Department of Homeland Security have announced a new framework for greater coordination and cooperation when addressing cyber-security in medical devices.
Posted inBoards & Shareholders
CEOs pledge ‘commonsense corporate governance principles’
CEOs of 20 leading public companies, pension funds, and investment firms have signed onto a continuing effort intended to “jumpstart a national conversation on corporate governance.”
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State bank regulators sue OCC over FinTech charters
The Conference of State Bank Supervisors is suing to prevent the OCC from granting special national bank charters to non-banks, specifically FinTech firms.
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Prudential escapes SIFI tag, enhanced regulatory oversight
The FSOC has reversed a previous determination that material financial distress at Prudential Financial could pose a threat to U.S. financial stability.
Posted inRegulatory Enforcement
FinCEN advisor charged with leaking SARs to media
A senior advisor at the Financial Crimes Enforcement Network has been arrested and charged with leaking agency data to a reporter.
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Senators demand post-breach answers from Google CEO
U.S. Senators Catherine Cortez Masto (D-Nev.) and Amy Klobuchar (D-Minn.) have written a letter to Google CEO Sundar Pichai that demands more information regarding a recently reported breach.
Posted inBoards & Shareholders
CII petitions exchanges over dual-class shares
The Council of Institutional Investors has filed petitions with the New York Stock Exchange and Nasdaq asking them to limit listings of companies with dual-class share structures.