All Government articles – Page 10
-
Article
SEC names San Francisco associate regional director
The SEC announced Monique Winkler has been named associate regional director for enforcement in the San Francisco Regional Office.
-
ArticleBoris Johnson loses control of Brexit
Britain PM Boris Johnson’s firm stance on Brexit has been shot down by Parliament; it remains to be seen when (or if?) the United Kingdom will be departing the European Union.
-
Article
SEC awards whistleblower $1.8M for 'extensive' assistance
The SEC awarded more than $1.8 million to a whistleblower whose information and assistance were “critically important” to the success of an enforcement action involving misconduct committed overseas.
-
Article
Juniper settles FCPA case with SEC for $11.7M
Juniper Networks has reached an $11.7 million settlement with the SEC for violations of the Foreign Corrupt Practices Act concerning its sales practices in Russia and China.
-
Article
New FinCEN unit to focus on money laundering threats
FinCEN announced the launch of its newly created Global Investigations Division, with responsibility for targeting terrorist financing and money laundering threats, both domestically and internationally.
-
Article
Commissioners Jackson and Lee: A critical look at Regulation S-K
SEC Commissioners Robert Jackson and Allison Herren Lee have expressed concerns about the move toward principles-based requirements with Regulation S-K and advocated for more requirements to disclose climate risk.
-
Article
A glimpse into Greece’s first anti-corruption chief
Greece’s government has appointed Angelos Binis as its first ever anti-corruption chief to head the country’s newly created anti-corruption body, the Transparency Authority.
-
Article
Deal or no deal: PM promises Brexit on Oct. 31
Several recent decisions by new Prime Minister Boris Johnson suggest the United Kingdom will crash out of the European Union on the Oct. 31 deadline without a deal.
-
Article
New Volcker rule eases restrictions on proprietary trading
The latest amendments to the Volcker rule, a regulation aimed at curbing banks from engaging in proprietary trading, seek to eliminate unnecessary complexity without thwarting the rule’s main objective.
-
Article
SEC settles with RSM over audit independence issues
The SEC has settled charges with RSM related to numerous auditor independence violations, spanning more than 100 audit reports across 15 clients.
-
Article
Is whistleblowing working? New claims raise questions
Sweeping, open allegations of fraud against major public companies raise fresh questions about the effectiveness of regulatory whistleblower programs.
-
Article
American Airlines to pay $22.1M over falsified mail delivery allegations
American Airlines has agreed to pay $22.1 million to resolve allegations of violations of the False Claims Act regarding the reporting of international delivery times.
-
Article
In Brexit gambit, U.K. signs legislation to ban EU laws
The repeal of the European Communities Act provides a “clear signal” that the U.K. government intends to leave the European Union without extending the Brexit deadline—with or without a deal.
-
Article
Cantor Fitzgerald, BMO Capital to pay $4.5M for mishandling ADRs
Brokers Cantor Fitzgerald and BMO Capital Markets will combine to pay more than $4.5 million to settle charges of improper handling of “pre-released” American Depositary Receipts.
-
Article
Avianca discloses internal FCPA investigation
Avianca Holdings disclosed in a securities filing that it is investigating possible violations of the U.S. Foreign Corrupt Practices Act concerning free and discounted airline tickets and upgrades given to government officials in certain countries.
-
Article
Fed wants real-time payments, settlements
The Federal Reserve is making an effort to develop a round-the-clock real-time payment and settlement service.
-
Article
Data privacy vs. national security: Moving the conversation forward
Data privacy compliance and national security seem to be in opposition—with one coming at the expense of the other. It’s time to instead focus the conversation on identifying opportunities for the private sector and government to collaborate.
-
Article
Asia Pacific compliance: Five tips for practitioners based outside the region
Communicating the variances of Asian regulatory policies could mean the difference between progress or failure. One of our former Top Minds offers companies five tips for avoiding a regulatory disaster within a multinational organization.
-
Article
CFTC files charges over fraudulent binary options trading scheme
The CFTC is pursuing enforcement against five entities and four individuals for engaging in a fraudulent scheme to solicit global customers for the purported purpose of trading illegal, off-exchange binary options.
-
Article
Regulatory events coming this fall
Check out information on upcoming events from such regulators as the PCAOB, FDIC, SEC, DOJ, and more.
