All Regulatory Policy articles – Page 62
-
ArticleExperts weigh in on Brexit consequences for GDPR, AML, more
The wheels to the United Kingdom’s exit from the European Union are finally in motion, but the hard work still remains as to what kind of future trading relationship the country has with the single market.
-
ArticleFTC, FDA to enhance antitrust oversight in biologics market
The Federal Trade Commission and Food and Drug Administration have signaled they will be increasing their oversight of any potential antitrust behavior in the biologics market.
-
ArticleProposed Volcker rule rollback gets pushback from agency leadership
Five federal agencies agreed that now would be a good time to ease restrictions on bank investments in hedge funds or private equity funds, triggering concern by some that the deregulation could be harmful. But is apprehension over the proposed Volcker rule relaxation overblown?
-
ResourceWhite paper: Enforcement Actions: Monitoring Trends, Regulatory Complexity, and Best Practices for Risk Management
Learn how financial compliance, risk, and crime professionals can efficiently track and monitor the growing number of enforcement actions and current trends in Compliance.ai’s latest eBook.
-
ArticleProposed bill seeks to help non-federal entities improve cyber-security
A new bill proposed by Congress would install a federal “cyber-security state coordinator” in each state to facilitate non-federal entities’ access to technical know-how, training, communications, and other resources for improved cyber-security.
-
ArticleNAVEX Global: Top 10 compliance trends for 2020
A recent Webinar, and complementary report, from NAVEX Global offers a look at the top 10 risk and compliance trends for 2020.
-
ArticleHeartbreaker: SEC Commissioner Jackson to resign Feb. 14
Robert Jackson Jr., one of five commissioners at the Securities and Exchange Commission, confirmed Thursday his intention to resign from his post next month.
-
ArticleTreasury finalizes rules impacting foreign investments in U.S.
The Treasury Department is disseminating two rules implementing the Foreign Investment Risk Review Modernization Act of 2018 to help balance national security with the importance of foreign investments in the U.S. economy.
-
ArticleCyber-threats, regulatory change highlight top-10 risks study
Cyber-incidents, business interruption, and changes in legislation and regulation are the three biggest risks to companies globally, according to research by German insurer Allianz.
-
ArticleTip sheet: 2020 priorities for accounting and audit regulators
With the new year under way, we highlight some focus areas of accounting and audit regulators—SEC, PCAOB, and FASB—that should be top of mind for boards of directors.
-
ArticleComments sought on draft vertical merger guidelines
The Federal Trade Commission and the Department of Justice’s Antitrust Division have jointly issued long-awaited draft guidelines concerning vertical mergers and are now seeking public comment.
-
Article
Dodd, Frank challenge SEC’s Regulation Best Interest
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
-
Article
Top DOJ compliance official resigns; rejoins Morgan Lewis
Matt Miner, former deputy assistant attorney general of the DOJ’s Criminal Division who played a prominent role in the development of a range of significant compliance policy initiatives, will rejoin Morgan Lewis as a partner, the law firm has announced.
-
ArticleSEC seeks to improve governance of public market data streams
Continuing its emphasis on disclosing conflicts of interest and boosting Main Street investors, the SEC seeks public input on a proposed order to modernize the National Market System.
-
Article
A modern, corporate-friendly SEC glides into 2020
There are a few clouds on the horizon as some on Capitol Hill wonder whether a purported concern for the “Main Street investor” is cloaking a deregulation initiative.
-
Article‘Perennial’ risks comprise OCIE’s 2020 examination priorities
The SEC’s Office of Compliance Inspections and Examinations’ priorities in 2020 foster its risk-based approach and find room for both Main Street investors and innovation.
-
ArticleWhite House proposes AI regulatory principles to limit government overreach
In sum, federal agencies should reject “rigid, design-based regulations” in favor of flexible approaches to artificial intelligence applications.
-
ArticleUK Finance slams overregulation in financial services sector
UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.
-
ArticleSpecial report: Compliance 2020
CW Editor in Chief Dave Lefort offers 10 predictions on what will dominate compliance headlines in 2020.
-
ArticleSEC plans to ease auditor conflict-of-interest rules
A proposed update to auditor independence rules relaxes restraints on affiliate relationships and initial public offerings.