All Regulatory Policy articles – Page 39
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ArticleSEC Commissioner Allison Herren Lee to not seek second term
Allison Herren Lee announced she will not seek a second term as a commissioner at the Securities and Exchange Commission once her current term expires in June.
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ArticleSEC notifies five Chinese companies of HFCAA noncompliance
The Securities and Exchange Commission has notified five China-based public companies they could be delisted from U.S. stock exchanges if they do not allow their audits to be inspected by the Public Company Accounting Oversight Board.
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ArticleSEC to discuss climate-related disclosure rule on March 21
The Securities and Exchange Commission will discuss its anticipated new rule ordering public companies to issue climate-related disclosures at its open meeting March 21.
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ArticleSEC proposes companies report cybersecurity incidents within four days
Public companies would have to report material cybersecurity incidents no later than four business days after they occur if a rule proposed by the Securities and Exchange Commission takes effect.
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ArticleBiden executive order seeks to study crypto, evaluate Fed-backed digital currency
President Joe Biden has ordered federal regulators to study the risks and potential benefits of digital assets and their underlying technology while encouraging the Federal Reserve to continue evaluating the creation of a federally backed digital currency.
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ArticleTop 10 reasons to attend Compliance Week 2022
A keynote with two SEC commissioners; interactive sessions on global sanctions, ESG, and ethical leadership; and a new conference location and format highlight Dave Lefort’s list of reasons to be excited for CW’s first in-person event in nearly three years.
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ArticleShould SEC hold securities lawyers accountable for bad advice?
A commissioner at the Securities and Exchange Commission has proposed establishing a minimum set of standards for lawyers advising public companies on securities law to combat a trend of “overzealous” representation.
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ArticleThe Cassava Sciences saga: Short sellers, ‘gaming’ the FDA, and the damaging ripple effects
The Federal Drug Administration’s decision last month to deny a citizen petition on behalf of short sellers with positions in Cassava Sciences stock highlights the damage the commonly exploited regulatory process can have on a company, regardless of innocence or guilt.
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ArticleECB questions AMLA’s effectiveness over scope, resource concerns
The European Central Bank believes the European Union’s proposed new anti-money laundering agency needs to have a wider scope of direct supervision and more staff if it is going to be effective.
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ArticleLawsuit by BitMEX co-founder could test GDPR’s reach over SARs
Ben Delo, co-founder of cryptocurrency exchange BitMEX, filed a complaint against Wise Payments after the company allegedly refused his requests under the General Data Protection Regulation to provide him with personal information it submitted via suspicious activity reports.
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ResourceWhite paper: Leveraging a Regulatory Change Data Feed to Maximize Compliance Confidence
Does your financial institution have the tools it needs to understand regulatory change and manage compliance? Managing the volume and complexity of regulatory change and understanding its impact on your institution requires more than inefficient manual processes.
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ArticleWhat sanctions on Russia mean for U.S. companies
The first wave of sanctions imposed on Russia and its financial sector aren’t expected to result in any immediate implications for U.S. companies or their global supply chains. With matters escalating, that could quickly change, according to sanctions experts.
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ArticleMy Compliance Library: ‘The Behavioral Code’ explores tension between code and conduct
Benjamin van Rooij and Adam Fine’s book is an exposition on shaping laws and codes to “human and organizational behavior” that lends to the discussion on how behavioral science can inform ethics and compliance programs.
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ArticleTRUST: A solution to crypto’s Travel Rule dilemma
Jennifer Lee, head of compliance at Anchorage Digital, highlights the launch of the Travel Rule Universal Solution Technology as “the clearest sign yet that digital asset players, as an industry, not as individual companies, truly care about compliance.”
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ArticleRulemaking on CPRA facing delay
The newly formed California Privacy Protection Agency appears behind schedule on rulemaking for the transition to the California Privacy Rights Act, putting the law’s July 2023 enforcement date in question.
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ArticleStrategies for complying with multiple data privacy regimes
Complying with multiple data privacy regimes is not simple, but it is increasingly becoming expected. A panel at CW’s virtual Cyber Risk & Data Privacy Summit offered their advice regarding the current global privacy landscape.
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ArticleBlockFi ruling leaves big crypto question unresolved
The SEC’s determination regarding BlockFi’s crypto lending product is a landmark resolution, yet the ruling does little to settle the larger question still looming: Are cryptocurrencies securities or currencies?
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ArticleSEC, states fine BlockFi $100M; crypto lending product declared a security
BlockFi Lending agreed to pay $100 million in penalties as part of a first-of-its-kind case in which the Securities and Exchange Commission declared a type of cryptocurrency lending product should be registered as a security.
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ArticleSEC proposal seeks to undo Trump-era whistleblower changes
The Securities and Exchange Commission will seek to undo several changes to the agency’s whistleblower program enacted during the Trump administration to potentially limit large awards.
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ArticleFINRA 2022 exam report highlights Reg BI compliance, AML trends, more
The Financial Industry Regulatory Authority’s annual report on examinations and risk monitoring contains insights on issues the organization uncovered regarding broker-dealers’ compliance with Regulation Best Interest during the rule’s first full year in existence.