"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at firstname.lastname@example.org.
The SEC has announced a new agreement with the Hong Kong Securities and Futures Commission. The move, writes Joe Mont, is intended to enhance the oversight of regulated entities that operate across national borders.
The Department of Labor has released a second series of “frequently asked questions” on its controversial “fiduciary duty” rule for advisers who are paid to make recommendations about retirement accounts. Joe Monthas more.
In what may be her final public remarks as SEC chairman, Mary Jo White said that political gamesmanship and current legislative climate could erode the agency’s independence and “cripple” enforcement efforts. Joe Monthas more.
OSHA has released its long-awaited guidance on best practices for whistleblower anti-retaliation programs. The recommended framework can be used to create and implement a new program or to enhance an existing program, writesJoe Mont.
The SEC has announced its Office of Compliance Inspections and Examinations’ priorities for the new year. Added areas of focus, writesJoe Mont, include electronic investment advice, money market funds, and the financial exploitation of senior investors.