All Regulatory Policy articles – Page 67
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Blog
Waters builds new agenda for Financial Services Committee
With new leadership, Rep. Maxine Waters (D-Calif.), the House Financial Services Committee is setting its agenda for the new session of Congress.
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ArticleCounterpoint: Deregulation aids the majority
Stockton University Professor of Finance Dr. Michael Busler says regulating industry can be very costly to consumers.
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ArticlePoint: Regulation is a stabilizing force
Santa Clara University behavioral finance professor Hersh Shefrin says regulation is a remedy for a host of imperfections that interfere with well-functioning markets.
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ArticleDisclosure reform an idea worth pursuing
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
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ArticleUnfinished business, lingering questions guide regulators into New Year
In 2019, regulators look to build on initiatives that began last year while tackling increased political tensions.
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ArticleHow compliance officers can shape enforcement in 2019
Compliance officers and in-house counsel will increasingly be expected to play a leading role in the Justice Department’s efforts to combat fraud in all areas in 2019.
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Article
SEC enforcement priorities for 2019
The Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.
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ArticleWhat federal data privacy legislation might look like, and how you can prepare
Components from preexisting privacy laws are likely to compose a significant portion of the parameters into which a federal privacy mandate would fit, writes our guest columnist.
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Article
A view from beyond the tech giants
Organizations in sectors outside of technology are voicing their opinions on what a data privacy regulation should entail.
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ArticleFAQ: Understanding U.S. privacy protections in place and under consideration
The following is a look at some of the many questions companies may have as debates continue over national and state laws and regulations pertaining to data privacy protections.
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ArticleTech companies push for national privacy framework
Commonalities among tech companies, when it comes to U.S. data privacy legislation, include a single-standard approach, elevating the FTC, and mandating a risk-based methodology.
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Article
How election results will impact regulation for next two years
America voted on Tuesday. Now corporate America and its regulators need to see what it all means.
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ArticleDeputy Attorney General Rod Rosenstein keynote: The value of compliance
Deputy Attorney General Rod Rosenstein kicked off Compliance Week 2018 in Washington D.C. on Monday, speaking candidly about compliance program effectiveness, the FCPA Corporate Enforcement Policy, the newly announced Justice Department coordination policy, and much more.
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ArticleWith proxy season under way, so is executive pay scrutiny
Although this year’s proxy season is just beginning, there are already some clues about how shareholders are voting on corporate pay packages.
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ArticleRichard Wallace: Failure is not an option
Thanks to the work of CFO Richard Wallace and an enterprise-wide effort to build a world-league compliance program, the Options Clearing Corp. doesn’t strive to just meet current regulatory requirements, it lives by a set of internal expectations that exceeds the mandatory.