All Rules & Proposals articles – Page 7

  • Blog

    CFTC could overhaul cross-border derivatives approach


    CFTC Chairman J. Christopher Giancarlo plans to spearhead new rule proposals to address a range of cross-border issues with swaps regulation.

  • Blog

    Senators urge FTC crackdown on child privacy


    Senators Edward J. Markey (D-Mass.) and Richard Blumenthal (D-Conn.) are calling upon the FTC to investigate the practices of app developers and app stores accused of accessing children’s sensitive data without required consent.

  • Blog

    Federal court: Virtual currency is a commodity, in CFTC purview


    A federal court has ruled that the Commodity Futures Trading Commission has the power to prosecute fraud involving virtual currency.

  • businesshandshake

    A thumbs up for smaller banks sharing BSA AML resources


    Federal bank regulators have announced that certain community banks and credit unions may share resources in an effort to bolster Bank Secrecy Act compliance and anti-money laundering obligations.

  • Article

    Sexual harassment legislation gaining momentum at state level


    Numerous states over the past few months have passed laws, or have legislation in the works, that seek to prevent sexual harassment in the workplace, and that means stringent new compliance obligations for companies.

  • dataprivacy_0

    While supportive, tech companies haggle over federal privacy law


    Well past the point of omens, it seems that a federal consumer privacy law is imminent. But what should that law be? How should it mimic GDPR requirements and those of states like California? The devil may be uploaded with the details.

  • Blog

    SEC’s Jackson criticizes stock exchanges, promises reforms


    The time has come to reform America’s stock markets. That was the message from SEC Commissioner Robert Jackson during a speech this week at George Mason University, where he laid out potential changes.

  • Article

    Public sounds off to SEC on proposed whistleblower changes


    As part of a public comment process that reached its deadline on Sept. 15, the SEC has collected ideas and opinions on proposed changes to its whistleblower program. We took a look at some of the responses.

  • Blog

    SEC monitoring Hurricane Florence


    The Securities and Exchange Commission, in a statement on Friday, said it is “closely monitoring the effects of Hurricane Florence” on investors and capital markets. It will consider extending deadlines for filings and other regulatory requirements.

  • Blog

    House panel advances slate of reform-minded bills


    The House Financial Services Committee this week advanced 12 bills. Among them is a modification of the Sarbanes-Oxley Act so that small, privately owned non-custodial brokers and dealers are no longer required to hire PCAOB-registered audit firms to meet annual reporting obligations.

  • Blog

    SEC chairman weighs in on role of guidance


    Reacting, in part, to a recent statement by banking regulators regarding the role of guidance in their regulatory regimes, SEC Chairman Jay Clayton has clarified his own views on the topic.

  • Blog

    NLRB proposes change to joint-employer standard


    On Friday, the National Labor Relations Board will publish a Notice of Proposed Rulemaking in the Federal Register regarding its joint-employer standard, a policy that will particularly affect franchise owners.

  • Blog

    Barbara Boehler joins Compliance Week as Director of Programming


    Compliance Week on Monday announced the hiring of Barbara Boehler as its new Director of Programming. She will play a leading role in planning all live CW events in addition to developing in-depth reports, surveys, and Webinars.

  • Blog

    CFPB, amid controversy, names new advisory committees


    The Consumer Financial Protection Bureau has announced the appointment of new experts from outside the federal government to the Consumer Advisory Board, Community Bank Advisory Council, and Credit Union Advisory Council.

  • Article

    New guidance (somewhat) relaxes federal contractors’ compensation audits


    The Labor Department’s Office of Federal Contract Compliance Programs has released a new directive outlining the agency’s procedures for reviewing contractor compensation practices that promises “greater transparency, consistency, and efficiency in compliance evaluations.”

  • Blog

    Roisman confirmed as newest SEC commissioner


    With a vote of the full Senate this week, Elad Roisman, a Republican nominated to replace Michael Piwowar, was confirmed to the Commission with bipartisan support. He was opposed by only 14 Democrats in the final vote.

  • Blog

    NIST seeks to expand framework to consumer privacy


    The Department of Commerce’s National Institute of Standards and Technology has launched a collaborative project “to develop a voluntary privacy framework to help organizations manage risk.”

  • Podcast

    Podcast: Don’t gloss over print document compliance, GDPR


    In this edition of the Compliance Week Podcast, we chat with Dennis Amorosano of Canon Information & Imaging Solutions about the often-overlooked need for print compliance and how your seemingly harmless office printer could cause GDPR and other data security headaches.

  • Blog

    NASAA expands coordinated crypto-crackdown


    The North American Securities Administrators Association says more than 200 active investigations of  crypto-currency-related investment products are currently underway by state and provincial securities regulators in the United States and Canada as part of “Operation Cryptosweep.”

  • Blog

    OCC opens public comment phase for modernizing CRA


    The Office of the Comptroller of the Currency has is now seeking public comments on the best ways to modernize the regulatory the Community Reinvestment Act.