All Regulatory Policy articles – Page 65
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Article
FDIC paves way for rollback of initial swap margin requirements
The move to ditch the requirement that insured depository institutions collect initial margin from affiliates is being praised by regulators for bringing the U.S. into alignment with other countries and freeing up $39.4 billion in collateral.
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ArticleSEC revisiting decades-old bank disclosure guide
The SEC is seeking public comment on proposed updates to statistical disclosures for bank and savings and loan registrants.
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ArticleLast-minute CCPA changes strike business-friendly tone
Recently approved tweaks to California’s upcoming privacy law don’t change the fact compliance prep should already be well underway, experts say.
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ArticleIf feds find fraud using analytics, corporations better have found it first
Deputy Assistant Attorney General Matthew Miner put corporate compliance officers on notice with remarks about the feds’ increasing use of data analytics.
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Article
FTC prioritizes guidance on application of antitrust laws to Big Tech
The Federal Trade Commission’s Office of Policy Planning is making the identification of Big Tech companies’ anticompetitive behavior and how to remedy it a top priority.
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ArticleWhat banking CCOs need to know about new terrorist funding order
Impacted financial institutions, including cryptocurrency exchangers, may want to review know-your-customer policies and anti-money laundering compliance in light of President Trump’s executive order.
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Article
Uber, Lyft among companies trying to stymie California employment bill
As legislation that would classify many freelance workers as employees instead of contractors nears passage in California, a few companies that would be most impacted are trying to preserve the gig economy.
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Article
States sue SEC over Reg BI
Seven states and the District of Columbia have filed a lawsuit against the SEC in an effort to block the regulator’s recently approved Regulation Best Interest rule package.
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SEC’s Clayton calls out dearth of global assistance in battling corruption
Is the SEC tired of being a global cop? In a speech Monday, SEC Chair Jay Clayton rallied against a “continuing lack of global commitment” to combatting offshore corruption.
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ResourceWhite paper: 2019 CCO Playbook
Understanding the regulatory environment, both past and current, can help shape your compliance strategies. ComplySci’s CCO Playbook will ensure you keep up with regulatory changes and provide you with a game plan to meet many of the top challenges CCOs face today.
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ArticleRisk alert: CCOs should examine policies around advisers’ adherence to disclosure rules
The SEC’s Office of Compliance Inspections and Examinations suggests a policy and procedure review for investment advisers for certain “principal trades” involving clients.
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Article
OFAC amends Cuban Assets Control Regulations
The Treasury Department’s Office of Foreign Assets Control announced amendments to the Cuban Assets Control Regulations to further implement President Trump’s June 2017 National Security Presidential Memorandum.
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ArticleHow industries are responding to the escalating U.S.-China trade war
While the escalating tit-for-tat trade war and increasing tariff rate hikes between the U.S. and China cannot be controlled, proactive companies are learning to swing with the punches—from diversifying their supply chains to shifting their production lines elsewhere.
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Article
Compliance lessons from the Google/Uber trade secrets mess
A federal grand jury’s indictment of Anthony Scott Levandowski for allegedly stealing trade secrets from Google may be a wake-up call to protect intellectual property more aggressively.
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Article
Court: Hyperlinked e-mails don’t count as ‘communication’ for debt collectors
A federal appeals court sided with a consumer in deciding hyperlinked e-mails violate debt notice requirements.
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ArticleSEC issues 9 compliance & disclosure interpretations for Inline XBRL
The SEC’s Division of Corporation Finance this month published nine new Compliance and Disclosure Interpretations relating to Inline XBRL rules, particularly concerning common questions around the exhibit index and cover page tagging.
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ArticleNew FinCEN unit to focus on money laundering threats
FinCEN announced the launch of its newly created Global Investigations Division, with responsibility for targeting terrorist financing and money laundering threats, both domestically and internationally.
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Article
Commissioners Jackson and Lee: A critical look at Regulation S-K
SEC Commissioners Robert Jackson and Allison Herren Lee have expressed concerns about the move toward principles-based requirements with Regulation S-K and advocated for more requirements to disclose climate risk.
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ArticleNew SEC guidance addresses proxy voting process
New SEC releases address the applicability of proxy rules to proxy voting advice and provide guidance to investment advisers in fulfilling their proxy voting responsibilities, particularly when they retain the services of a proxy advisory firm.
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ArticleNew Volcker rule eases restrictions on proprietary trading
The latest amendments to the Volcker rule, a regulation aimed at curbing banks from engaging in proprietary trading, seek to eliminate unnecessary complexity without thwarting the rule’s main objective.