New SEC division to coordinate response between OCIE, regional offices
By 
Aaron Nicodemus2020-07-28T18:09:00
The Securities and Exchange Commission announced the creation of a new division designed to bolster compliance with securities laws among firms working with the agency’s regional offices.
Related articles
-
ArticleOCIE risk alert offers coronavirus-related advice to investment, brokerage firms
Many of the coronavirus-related risks recently highlighted by the Office of Compliance Inspections and Examinations are well-known, but the agency made a point of mentioning fees and expenses.
-
ArticleEmployee faith in whistleblowing programs wanes when companies act selectively
Whistleblowing hotlines are rightly championed as valuable tools for employees and even third parties to raise concerns about corporate conduct. But it seems some complaints may be acted upon more keenly than others, particularly if blame can be pinned to one individual and any potential fallout can be ring-fenced.
-
ArticleHow food and beverage companies adjust to the throes of tariff woes
On-again-off-again tariffs, a down economy, and a long list of global supply chain disruptions are challenging U.S. food and beverage companies to adjust their supply chain operations in a variety of ways.
More from Regulatory Policy
-
PremiumU.K. FCA establishes framework for unlisted companies to trade shares on a ‘buyer-beware’ basis
Private companies that are keen to trade their shares but do not wish to become listed have gained another way to trade their shares. The U.K. government completed its initial review and published rules for the system in June.
-
ArticleDOJ is ramping up, not ramping down, health care fraud enforcement
While the Trump administration may have shifted away from pursuing small, white-collar, financial crimes, its focus on health care fraud cases is as hot as ever.
-
ArticleU.K. enforcement appetite over off-channel comms grows as U.S. wanes
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.