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The Filing Cabinet
"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 joe.mont@complianceweek.com.
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The Filing Cabinet Blog
Fed Official Warns Banks: Fix Culture Problem or be Downsized
Joe Mont | October 21, 2014
Two Federal Reserve officials issued stern warnings regarding bank compliance efforts last week. William Dudley, president of the Federal Reserve Bank of New York, said that if financial institutions don’t fix their culture problem, they risk being broken apart. Meanwhile, Fed Governor Daniel Tarullo blasted banks that take a “check the box” approach to compliance. More from their remarks are inside.
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The Filing Cabinet Blog
Regulatory Woes Lead Barclays to Launch Compliance Academy
Joe Mont | July 8, 2014
British banking giant Barclays is partnering with a top business school in the U.K. to create the Compliance Career Academy, a program intended to better train its compliance personnel, educate employees on ethics, and improve its corporate culture amid record-setting fines and ongoing accusations."Strong and effective internal compliance is essential to ensuring banks operate in the right way," David Walker, Barclays chairman, said in a statement.
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