All Regulatory Policy articles – Page 60
-
ArticleCompliance personnel face risks and rewards as SEC whistleblowers
These best practices will guide compliance practitioners turned whistleblower through the process of reporting wrongdoing while protecting themselves from harm.
-
ArticleCFTC Commissioner Quintenz won’t seek second term
Brian Quintenz, one of five commissioners at the CFTC, announced he won’t seek renomination to a second five-year term and will depart the agency by the end of October.
-
ArticleMnuchin rips Lakers, fumes over public companies receiving coronavirus loans
Reacting to news the NBA’s Los Angeles Lakers received a coronavirus aid loan meant for small businesses, U.S. Treasury Sec. Steven Mnuchin said Tuesday all such loans over $2 million will be audited and some companies could face criminal liability.
-
ArticlePreparing for the compliance caveats that accompany CARES Act, PPP
Regardless of the government relief program, companies that are able to provide clear, thorough, and timely compliance data and documentation will put themselves in the best position to secure the relief they need.
-
ArticleDid Goliath steal David’s money in first round of business rescue funds?
Even as Congress works to refill a federal loan fund meant to help small businesses survive coronavirus shutdowns, some large, publicly traded companies are taking heat for receiving the loans.
-
ArticleDon’t count on European regulators to relax rules during coronavirus crisis
European businesses may be putting themselves at risk because they mistakenly believe regulators are prepared to loosen the rules so companies can operate more easily as the coronavirus pandemic lingers on.
-
Resourcee-Book: Coronavirus impact on the regulatory climate
As both the regulatory landscape and the “new normal” for businesses evolves in the wake of the coronavirus pandemic, one thing remains certain: An ethics-first mindset will always keep your company pointed in the right direction.
-
ArticlePandemic, government money create perfect storm for financial fraud
A global pandemic, an unprecedented flow of government money, and a weakening of lending controls could create a perfect storm of opportunity for fraudsters.
-
Article
SEC’s Clayton stresses importance of coronavirus disclosures
With the close of the first quarter and earnings releases and investor calls around the corner, senior leadership at the SEC is pushing for full disclosure transparency regarding impact of the coronavirus pandemic.
-
ArticleFinCEN, OCC offer BSA compliance relief amid pandemic
Two federal agencies that oversee Bank Secrecy Act requirements have notified financial institutions they will agree to “reasonable delays” in the filing of required reports if institutions can show the delays are necessary due to the coronavirus pandemic.
-
ArticleRegulatory slowdown due to coronavirus makes compliance role critical
The ongoing pandemic is limiting investigations into most types of white-collar crimes as federal enforcement agencies refocus their attention on coronavirus-related matters.
-
Article
SEC won’t delay Reg BI amid pandemic
The Securities and Exchange Commission has no plans to delay its controversial Regulation Best Interest rule despite the impact the ongoing coronavirus pandemic has had on U.S. markets.
-
ArticleComparing the coronavirus stimulus package to 2008 relief
Unprecedented in scope, Congress’ $2 trillion coronavirus stimulus package significantly dwarfs relief packages passed during the 2008 financial crisis while also reflecting some lessons learned.
-
Article
SEC provides new coronavirus disclosure guidance
The SEC’s Division of Corporation Finance published guidance to provide clarity regarding its view on disclosure and other securities law obligations during the escalating coronavirus pandemic.
-
ArticleSo your company’s CEO has coronavirus. Does the world have to know?
As infections stemming from the coronavirus pandemic continue to mount around the world, publicly traded companies face questions about when and where to disclose that their CEO or other key executives have contracted the virus.
-
ArticleCoronavirus begins disrupting public companies’ financial reporting
Companies are reporting ways in which the coronavirus pandemic is hurting their bottom lines, as well as steps they are taking to reduce spending as disruptions ripple through their supply chains and rattle their customer bases.
-
Article
SEC filer definition changes aim to promote going public
The SEC’s revisions to definitions of accelerated and large accelerated filers should provide relief to smaller issuers and reduce costs for certain public companies.
-
ArticleFCA seeks comment on proposed climate-related disclosure requirements
The U.K. Financial Conduct Authority is asking for comment on newly published proposals outlining climate-related disclosure requirements for premium listed issuers.
-
ArticleCFPB the latest federal agency to propose whistleblower program
The Consumer Financial Protection Bureau wants Congress to authorize a program that would reward whistleblowers who provide tips leading to successful prosecutions.
-
Article
SEC extends filing deadlines for firms impacted by coronavirus
Certain companies have been granted a reprieve by the SEC, which is extending some filing deadlines due to coronavirus interference.