All Regulatory Policy articles – Page 42
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ArticleCWE panel: EU Whistleblowing Directive a test for company procedures
Multiple weak points identified with the upcoming EU Whistleblowing Directive could put the burden on companies to determine how to best implement the law, experts discussed during CW’s virtual Europe event.
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ArticleSEC approves rule establishing process for delisting foreign companies
The SEC approved a rule establishing the process for delisting foreign companies from U.S-based exchanges if they do not allow U.S. regulators to examine their finances.
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ArticleRoisman: SEC should consider stricter cyber reporting for public companies, advisers
SEC Commissioner Elad Roisman says the agency should mull over whether to require public companies and investment advisers to perform the same kind of reporting, preparation, and planning for cyber incidents that FINRA requires of registered broker-dealers.
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ArticleDOJ vows stricter white-collar enforcement, increased risk of monitors
Deputy Attorney General Lisa Monaco shares actions the Department of Justice will be taking to strengthen its response to corporate crime and what areas it will be looking at moving forward.
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ArticleRohit Chopra-led CFPB cracking down early on data, automation
Rohit Chopra has led the Consumer Financial Protection Bureau for less than a month, but one area of examination and enforcement priority is already coming into focus: data.
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FTC marks revived ‘prior approval’ merger stance with proposed limits on DaVita
The Federal Trade Commission proposed 10-year acquisition restrictions on dialysis service provider DaVita under the agency’s newly reinstated “prior approval” policy aimed at curbing anticompetitive mergers.
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ArticleSEC executive pay clawback rule primed for ‘significant opposition’
The SEC is poised to pass an executive compensation rule that would require public companies to claw back incentive-based compensation if their finances are restated within the previous three years. Experts expect pushback to the proposed mandate.
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ArticleCompliance Week National Conference is going back in person in May
Mark your calendars: Compliance Week’s National Conference in Washington, D.C. will be held in person for the first time in nearly three years from May 16-18, 2022.
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ArticleFSOC report: Climate change ‘increasing threat’ to U.S. financial stability
In a report ordered by President Joe Biden, the Financial Stability Oversight Council urged market participants, public companies, and regulators to develop a common agenda to respond to climate change-related financial risk.
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ArticleGlobal Privacy Assembly takeaways: ‘Time to get real’ on cross-border cooperation
Privacy regulators believe there must be a push toward greater international cooperation and enforcement if failure to ensure data protection is to be taken as seriously as other corporate offenses.
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ArticleTreasury issues 5 recommendations for modernizing U.S. sanctions
The U.S. Department of the Treasury issued a series of recommendations as to how to “adapt and modernize” the government’s use of sanctions to enhance their effectiveness in supporting national security objectives.
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ArticleSEC investor advocate: ‘Gamification’ exposes holes in Reg BI
SEC Investor Advocate Rick Fleming said online platforms designed to make stock trading more easily accessible and exciting “expose what may be a significant flaw in Reg BI” regarding unsolicited transactions.
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ArticleSEC commissioners clash on cryptocurrency securities debate
SEC Commissioners Caroline Crenshaw and Hester Peirce used recent speeches to stake opposite sides on the central debate of whether all cryptocurrencies are securities.
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ArticleLate surge expected to comply with EU Whistleblowing Directive
European companies are expected to rush to comply with new whistleblower protection rules only when they take effect in December, meaning workers are not adequately protected for any disclosures they make in the meantime.
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ArticleSenators waiving white flag on privacy law with request to FTC?
The request by a group of prominent Democratic senators that the Federal Trade Commission launch rulemaking on data privacy signals Congress is not close to passing a federal law anytime soon, experts say.
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ArticleCalifornia privacy agency names executive director
The nation’s first state data privacy agency has selected former FTC Chief Technologist Ashkan Soltani to serve as its executive director overseeing enforcement and rulemaking of the CCPA and, eventually, the CPRA.
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ArticleRohit Chopra confirmed as CFPB director; more dominoes to follow?
The Senate confirmed Rohit Chopra to be the next director of the Consumer Financial Protection Bureau with a party-line vote. Lawmakers will soon shift their attention to his replacement at the Federal Trade Commission.
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ArticleSEC seeks to implement Dodd-Frank provision on executive compensation votes
The SEC has proposed rulemaking that would enact a provision of the Dodd-Frank Act requiring mutual fund managers to disclose how they voted on proxy proposals, including on compensation agreements with company executives.
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ArticleNew SEC marketing rule offers opportunities, compliance challenges
The SEC’s new marketing rule allows certain types of advertising, endorsements, and testimonials that were previously prohibited. Investment advisers are “excited” about the new possibilities—but compliance officers must warn them of the risks.
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ArticleIntroducing: Cybersecurity training customized for compliance
The professor who created CW’s first-ever self-directed learning module explains what compliance practitioners can expect to get out of the course—and why it’s an essential tool in an evolving cyber-risk landscape.