All Regulatory Policy articles – Page 66
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ArticleFCA and the future of financial conduct regulation
Post-Brexit, FCA Chief Executive Andrew Bailey says the U.K. agency will take a “lower burden” regulatory approach than that of the European Union.
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Trump takes another swing at controlling independent agencies
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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Uber discloses its bribery and corruption risk
In its first-ever filing with the SEC, ride-sharing company Uber discussed its bribery and corruption risks, including an ongoing investigation by the Department of Justice into potential violations of the Foreign Corrupt Practices Act.
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ArticleFed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
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ArticleCommissioners speak to SEC’s past, and future
Top officials at the SEC shared their agendas and future priorities at the recent SEC Speaks conference. Chairman Jay Clayton gave “a look at the SEC through the eyes of management,” and Commissioner Elad Roisman spoke of “encouraging smaller entrants to capital markets.”
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Warren bills seek expanded criminal liability for executives
Sen. Elizabeth Warren (D-Mass.) has introduced one bill and reintroduced another seeking to hold executives of large corporations criminally responsible when their companies repeatedly violate federal law.
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Allison H. Lee, former counsel to Kara Stein, nominated to SEC
President Trump will nominate Allison Herren Lee, of Colorado, to serve at the SEC. Lee, a Democrat, would fill the seat vacated by Kara Stein, restoring the five-member Commission to full strength.
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Diamonds not always the FTC’s best friend
The Federal Trade Commission has sent letters to jewelry marketers warning them that some of their advertisements for jewelry made with simulated or laboratory-created diamonds may be in violation of the FTC Act.
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CorpFin addresses filings with 'competitively harmful' information
The Securities and Exchange Commission recently adopted new rules that permit registrants to file redacted material contracts without applying for confidential treatment, provided the redacted information is not material and would be competitively harmful if publicly disclosed.
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ArticleAsk Amii mailbag: Keys to effective, engaging training
Executive coach Amii Barnard-Bahn tackles your questions on compliance training, conducting an ethics health check, and more.
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ArticleSEC, U.K. strike post-Brexit cooperation deals
The SEC and the United Kingdom’s Financial Conduct Authority have reaffirmed their commitment to cooperation and information sharing, even after the latter withdraws from the European Union.
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HUD charges Facebook with facilitating housing discrimination
The Department of Housing and Urban Development is charging Facebook with violating the Fair Housing Act by “encouraging, enabling, and causing housing discrimination through the company’s advertising platform.”
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A closer look at the revised FCPA Corporate Enforcement Policy
The Department of Justice in recent months has made several notable revisions to its FCPA Corporate Enforcement Policy surrounding M&A, messaging apps, and much more.
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ArticleCFPB resurrects consumer advisory boards
CFPB Director Kathleen Kraninger has reinstated the agency’s consumer advisory boards. It is currently accepting applications for members to serve on those boards, which were disbanded last year by her predecessor.
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ArticleSEC considers reporting changes for BDCs, closed-end funds
The SEC is pitching rule amendments to improve access to capital and investor communications by business development companies that typically invest in small and developing companies and registered closed-end funds.
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SEC adopts amendments, MD&A changes to simplify disclosures
The SEC has adopted amendments to Regulation S-K disclosure requirements and MD&A filings that are intended to improve the readability of company disclosures and to discourage repetition and immaterial information.
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FTC clarifies expectations for post-settlement compliance reports
The Federal Trade Commission, increasingly faced with incomplete information and blown deadlines, is laying down the law when it comes to post-settlement compliance reports.
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Despite decades of scrutiny, auditor independence remains a challenge
Even with clear-cut expectations, audit firms still find new and unique ways to run afoul of the SEC’s independence rules. Among the culprits: the money-making potential of non-audit services.
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ArticleCongress debates easing risk burden for banks as pot businesses grow
Momentum has been on the side of marijuana legalization. Now, there may be progress in allowing banks to legally take part in that expanding retail revolution.
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An inside look at False Claims Act enforcement
Deputy Associate Attorney General Stephen Cox in remarks this week offered some key insight into the Department of Justice’s enforcement principles, policies, and perspectives that guide its False Claims Act enforcement.