All articles by Joe Mont – Page 13
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Blog
SEC chairman weighs in on role of guidance
Reacting, in part, to a recent statement by banking regulators regarding the role of guidance in their regulatory regimes, SEC Chairman Jay Clayton has clarified his own views on the topic.
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Blog
NLRB proposes change to joint-employer standard
On Friday, the National Labor Relations Board will publish a Notice of Proposed Rulemaking in the Federal Register regarding its joint-employer standard, a policy that will particularly affect franchise owners.
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ArticleCCOs and the absurdity of executive hypocrisy
The beauty of being in the compliance field (or writing about it) is that within any day’s news cycle, there are lessons to learn and debates to be had. This past week has been chock full of both.
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Article
Tackling the contentious issue of guidance vs. regulation
For years, a battle over the place of guidance in the regulatory world has been hotly debated. Now, there may be some clarity.
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ArticleSpecial report: A practical guide to compliance technology
A slate of new technologies is poised to push the compliance function to new horizons of efficiency and effectiveness. It may be easier said than done, however—especially without a plan of attack.
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Blog
CFPB, amid controversy, names new advisory committees
The Consumer Financial Protection Bureau has announced the appointment of new experts from outside the federal government to the Consumer Advisory Board, Community Bank Advisory Council, and Credit Union Advisory Council.
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ArticleCongressional debate emerges: How to regulate social media
Fueled by election tampering and “fake news,” social media companies are creeping ever closer to facing new regulation.
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Blog
Roisman confirmed as newest SEC commissioner
With a vote of the full Senate this week, Elad Roisman, a Republican nominated to replace Michael Piwowar, was confirmed to the Commission with bipartisan support. He was opposed by only 14 Democrats in the final vote.
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Blog
NIST seeks to expand framework to consumer privacy
The Department of Commerce’s National Institute of Standards and Technology has launched a collaborative project “to develop a voluntary privacy framework to help organizations manage risk.”
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Blog
Pay for outside corporate directors barely increased in 2017
Total pay for outside directors at the nation’s largest corporations increased by a mere 3 percent in 2017, driven by increases in cash and stock compensation, according to a new analysis by Willis Towers Watson.
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Podcast
Podcast: Don’t gloss over print document compliance, GDPR
In this edition of the Compliance Week Podcast, we chat with Dennis Amorosano of Canon Information & Imaging Solutions about the often-overlooked need for print compliance and how your seemingly harmless office printer could cause GDPR and other data security headaches.
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Blog
NASAA expands coordinated crypto-crackdown
The North American Securities Administrators Association says more than 200 active investigations of crypto-currency-related investment products are currently underway by state and provincial securities regulators in the United States and Canada as part of “Operation Cryptosweep.”
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Blog
OCC opens public comment phase for modernizing CRA
The Office of the Comptroller of the Currency has is now seeking public comments on the best ways to modernize the regulatory the Community Reinvestment Act.
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Blog
CFPB’s student loan ombudsman slams the door on his way out
The CFPB’s student loan ombudsman may have quit, but he is not going quietly. “After 10 months under your leadership, it has become clear that consumers no longer have a strong, independent consumer bureau on their side,” Seth Frotman told his former boss, Acting Director Mick Mulvaney.
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Blog
SEC’s Consolidated Audit Trail faces more delays
The SEC has announced that it may take until November for initial phases of its ambitious, but often delayed, Consolidated Audit Trail to begin initial operations.
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ArticleHot and getting hotter in Tesla’s kitchen
The real discussion surrounding Tesla and the recent tweet from CEO Elon Musk is a much-needed debate about boards of directors.
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Blog
Senate Banking Committee advances SEC nominee
The Senate Banking Committee, on Thursday, approved the nomination of Elad Roisman for the Securities and Exchange Commission. He now heads to a confirmation vote by the full Senate.
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Blog
SEC amends rules to improve municipal securities reporting
The SEC has adopted amendments intended to enhance transparency in the municipal securities market. The amendments focus on material financial obligations that could effect liquidity, creditworthiness, and existing security holders’ rights.
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Blog
SEC acts to simplify, update disclosure requirements
The SEC has announced efforts to streamline certain disclosure requirements that have become “duplicative, overlapping, or outdated in light of other Commission disclosure requirements, and U.S. Generally Accepted Accounting Principles."
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Blog
HUD files housing discrimination complaint against Facebook
The Department of Housing and Urban Development has announced a complaint against Facebook for “violating the Fair Housing Act by allowing landlords and home sellers to use its advertising platform to engage in housing discrimination.”