A breach disclosure by the SEC does the agency no favors as it prepares to dig deep into data troves for market surveillance.
Joe Mont
Posted inUncategorized
Amid reform considerations, Trump utilizes foreign deal reviews
On the heels of a rejected semiconductor deal with Chinese investors, legislators are pondering reforms for how international M&A is reviewed.
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SEC offers interpretive guidance, scenarios for pay ratio rule
Lacking a reprieve from its effective date, the SEC has released interpretive guidance intended to assist companies in their efforts to comply with the controversial pay ratio rule.
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Senate advances human trafficking bills, debates Communications Decency Act
Bills aiming to keep human trafficking off the nation’s roadways roadways passed in the Senate this week. Next up: a legislative effort seeking to attack the problem of Internet-facilitated human trafficking, the Stop Enabling Sex Traffickers Act of 2017.
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Dems pitch data protections in response to Equifax woes
Democratic senators have introduced new legislation intended “to give control over credit and personal information back to consumers” following a massive data breach at consumer credit rating firm Equifax that compromised the personal information of at least 143 million Americans.
Posted inRegulatory Enforcement
Congress considers secondary sanctions against North Korea, banking partners
Proposed legislation would create the “toughest financial sanctions ever directed at North Korea.” Secondary sanctions would bar foreign banks from the U.S. financial system if they have business relationships with the rogue nation.
Posted inRegulatory Enforcement
Report: CFPB’s Wells Fargo fine was just 1 percent of potential penalty
The latest attack on the CFPB by Republican critics comes in an investigative report alleging that the Bureau fined Wells Fargo, following illegal account openings, a mere 1 percent of the penalty it was authorized to issue.
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LexisNexis Risk Solutions’ Chrisol Correia on AML, the convergence of risk intelligence
The leader of LexisNexis Risk Solutions’ global anti-money laundering solutions strategy discusses trends in AML, risk management technology, and the evolution of FinTech compliance.
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The future of FinTech may involve unified regulation
Many FinTech firms concede that regulation may provide a needed imprint of safety and security. A new plan calls for a singular regulatory point of contact.
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Podcast: The regulatory challenges of self-driving trucks
In our latest podcast, we listen in on a recent Senate Committee on Commerce, Science, and Transportation hearing where regulatory approaches to self-driving trucks were discussed.
