All Dodd-Frank articles
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News BriefSEC 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.
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ArticleCompliance 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.
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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.
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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.
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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.
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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.
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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.
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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.
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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 ...
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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 ...