By
Aaron Nicodemus2021-02-03T21:51:00
Treasury Secretary Janet Yellen will meet with the heads of several regulatory agencies to discuss potential responses to the wild swings in value of GameStop and several other stocks.
2021-02-05T16:59:00Z By Aaron Nicodemus
A key meeting of regulators has determined the recent spike caused by Reddit users for normally tame stocks like GameStop and AMC Entertainment has not had a significant impact on the market, which Treasury Secretary Janet Yellen termed “resilient.”
2021-01-28T22:28:00Z By Compliance Week
While Kyle Brasseur gives Data Privacy Day the shout-out it deserves, Dave Lefort explains why retail investors, the apps they use, and regulators all “Failed It” in the GameStop stock market craze.
2021-01-28T22:08:00Z By Aaron Nicodemus
Wall Street has been consumed this week watching a real-time battle unfold between retail investors and hedge funds over formerly moribund stocks like GameStop, AMC Entertainment, and BlackBerry. The compliance lessons lie in the levels of risk.
2025-11-04T18:52:00Z By Adrianne Appel
Less than a year after a new rule required more of the U.S.’s biggest banks to draft “recovery” plans in case of failure, the rule is on its way out.
2025-10-31T17:50:00Z By Adrianne Appel
The U.S. government shutdown has brought most operations at the Securities and Exchange Commission (SEC) to a screeching halt, but that doesn’t mean compliance teams should be taking a breather, experts advised.
2025-10-30T19:39:00Z By Neil Hodge
Companies could face significant compliance challenges in trying to meet new EU legal requirements about how companies share data with third parties.
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