All Regulatory Policy articles – Page 44
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ArticlePCAOB whistleblower program bill reintroduced to Congress
A bill that proposes to create a whistleblower program for the Public Company Accounting Oversight Board has been reintroduced to the House after failing to be acted upon by the Senate in 2019.
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ArticleExperts optimistic, though wary, toward Privacy Shield successor
Legal and data privacy experts have expressed cautious optimism regarding the announcement that the United States and European Union have reached an agreement in principle to resume transatlantic data flows.
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ArticleKenneth Polite to deliver keynote at Compliance Week 2022
Kenneth Polite Jr., head of the Department of Justice’s Criminal Division and a former chief compliance officer, will deliver a morning keynote at Day 2 of Compliance Week’s National Conference in Washington, D.C. from May 16-18.
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ArticleThird time’s the charm? Agreement in principle reached on U.S.-EU data flows
The United States and European Union have reached an agreement in principle on how to handle transatlantic data flows, a thorny issue that has resulted in two prior frameworks being scrapped by the EU’s top court.
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ArticleNew ICO head strives for reassurance in first speech
John Edwards, head of the U.K. Information Commissioner’s Office, said he wants to bring greater certainty for companies regarding their data compliance needs, especially if the government’s drive to reduce regulatory burdens results in the EU withdrawing its data adequacy decision.
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ArticleHow to prepare for SEC’s climate-related disclosure rule
The Securities and Exchange Commission’s proposed climate-related disclosure rule would force companies that have been reluctant to initiate a self-examination of their environmental impact to do so, posthaste. Experts weigh in on where to start.
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SEC releases highly anticipated climate-related disclosure rule
After months of anticipation, the Securities and Exchange Commission issued its proposed climate-related disclosure rule, a sweeping potential mandate that would force all public companies to quantify, measure, and disclose their effect on the environment.
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ArticleFINRA stresses supervisory authority as key to CCO liability cases
Whether chief compliance officers have supervisory authority is key to the Financial Industry Regulatory Authority’s determination of CCO liability, the organization clarified in a regulatory notice.
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ArticleSarah Bloom Raskin withdraws nomination as top banking regulator
Sarah Bloom Raskin, President Joe Biden’s pick to be vice chair for supervision at the Federal Reserve, withdrew her nomination after losing the support of a key Democratic senator.
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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.