All Dodd-Frank articles

  • SEC
    News Brief

    SEC rule prohibits manipulating CCOs at security-based swaps


    The Securities and Exchange Commission adopted two rules aimed at curbing potential misconduct in the security-based swaps market.

  • Timeline

    Compliance 2020: A timeline


    Compliance Week looks back at two decades of scandals, enforcement actions, and regulatory policies (2000-2019) that shaped the compliance function we see today.

  • Blog

    Be careful what you wish for, Corporate America


    Businesses might soon regret the Supreme Court’s pro-business Somers decision, which impacts the Dodd-Frank Act anti-retaliation whistleblower provision.

  • Blog

    SEC doles out its largest ever whistleblower awards


    The Securities and Exchange Commission today announced its highest ever Dodd-Frank whistleblower awards, with two whistleblowers sharing a nearly $50 million award and a third whistleblower receiving more than $33 million.

  • Blog

    SOX exemption saves plenty, costs more, study says


    A new study calculates the cost and benefit of exempting smaller companies from SOX internal control audits — and it suggests investors aren't better off.

  • Article

    The future of anti-corruption in Trump’s America


    We are only a month into the Trump administration, and there are already a number of compliance developments to keep an eye on.

  • Blog

    U.S., U.K. and German law firms team up to help whistleblowers


    New York law firm Meissner & Associates and two European law firms—Naegele and London-based Brahams Dutt Badrick French—have teamed up to launch a first-of-its-kind collaborative platform to help Europeans call out financial wrongdoing and benefit from U.S. whistleblower laws.

  • Blog

    GFT launches regulatory change management service


    GFT, a provider of advisory, business consulting, IT and software services to the financial services community, has announced the launch of its Regulatory Change Management Service, giving firms the ability to create an end-to-end tracking process to keep on top of their regulatory challenges.

  • Blog

    Two Courts—Two Decisions on Whistleblower Protections


    Image: A recent court ruling found that employees who reported suspected illegal conduct to their employers rather than to the SEC are entitled to the Dodd-Frank Act anti-retaliation protections. The decision, however, conflicts with a prior court decision, where the court refused to give weight to the SEC’s interpretation of ...

  • Article

    SEC Girds for Next Wave of Political Battles


    On paper, the next several months mark the final stretch for the SEC’s implementation of Dodd-Frank Act rulemaking. In reality expect continued battles over the law, waged by both Republicans and Democrats. Recent congressional hearings gave a sense of what’s to come: stress tests for asset management funds, fights over ...