From helping establish the SEC’s Office of Compliance Inspections and Examinations to his more recent legal career, John Walsh has had a front-row seat to the evolution of compliance.
Joe Mont
Posted inUncategorized
Matthew Pachman: The phoenix
The secret to rebuilding corporate culture after a scandal? It involves the people left behind.
Posted inSurveys & Benchmarking
Study: Firms pay more than $2K per employee for cyber-security
The cost breakdown of cyber-security for financial institutions is just one of the challenges facing firms.
Posted inRegulatory Policy
SEC proposes new disclosures for acquisitions, dispositions
The SEC has proposed steps to improve the information investors receive regarding the acquisition and disposition of businesses.
Posted inRegulatory Policy
A legacy in cowboy boots
Former CFTC Commissioner Bart Chilton, who died last month, struck more a figure of a rock star than a regulator.
Posted inRegulatory Enforcement
New compromise in SEC, Elon Musk battle
A new proposal to combat Tesla CEO Elon Musk’s bad behavior has some at the SEC shaking their heads after Musk breached last year’s SEC agreement.
Posted inRegulatory Enforcement
Trump takes another swing at controlling independent agencies
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
Posted inRisk Management
Fed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
Posted inRegulatory Policy
Commissioners speak to SEC’s past, and future
Top officials at the SEC shared their agendas and future priorities at the recent SEC Speaks conference. Chairman Jay Clayton gave “a look at the SEC through the eyes of management,” and Commissioner Elad Roisman spoke of “encouraging smaller entrants to capital markets.”
Posted inRegulatory Policy
Warren bills seek expanded criminal liability for executives
Sen. Elizabeth Warren (D-Mass.) has introduced one bill and reintroduced another seeking to hold executives of large corporations criminally responsible when their companies repeatedly violate federal law.