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A new bill proposed by Congress would install a federal “cyber-security state coordinator” in each state to facilitate non-federal entities’ access to technical know-how, training, communications, and other resources for improved cyber-security.
A recent Webinar, and complementary report, from NAVEX Global offers a look at the top 10 risk and compliance trends for 2020.
Robert Jackson Jr., one of five commissioners at the Securities and Exchange Commission, confirmed Thursday his intention to resign from his post next month.
The Treasury Department is disseminating two rules implementing the Foreign Investment Risk Review Modernization Act of 2018 to help balance national security with the importance of foreign investments in the U.S. economy.
Cyber-incidents, business interruption, and changes in legislation and regulation are the three biggest risks to companies globally, according to research by German insurer Allianz.
With the new year under way, we highlight some focus areas of accounting and audit regulators—SEC, PCAOB, and FASB—that should be top of mind for boards of directors.
The Federal Trade Commission and the Department of Justice’s Antitrust Division have jointly issued long-awaited draft guidelines concerning vertical mergers and are now seeking public comment.
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
Matt Miner, former deputy assistant attorney general of the DOJ’s Criminal Division who played a prominent role in the development of a range of significant compliance policy initiatives, will rejoin Morgan Lewis as a partner, the law firm has announced.
Continuing its emphasis on disclosing conflicts of interest and boosting Main Street investors, the SEC seeks public input on a proposed order to modernize the National Market System.
There are a few clouds on the horizon as some on Capitol Hill wonder whether a purported concern for the “Main Street investor” is cloaking a deregulation initiative.
The SEC’s Office of Compliance Inspections and Examinations’ priorities in 2020 foster its risk-based approach and find room for both Main Street investors and innovation.
In sum, federal agencies should reject “rigid, design-based regulations” in favor of flexible approaches to artificial intelligence applications.
UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.
CW Editor in Chief Dave Lefort offers 10 predictions on what will dominate compliance headlines in 2020.
A proposed update to auditor independence rules relaxes restraints on affiliate relationships and initial public offerings.
Compliance Week looks back at two decades of scandals, enforcement actions, and regulatory policies (2000-2019) that shaped the compliance function we see today.
New York Governor Andrew Cuomo has signed legislation requiring a study to be conducted on the number of women directors who serve on each board of directors of domestic and foreign companies authorized to do business in New York.
Strong social stances, a dedication to doing what’s right, and leading by example highlight the qualities exemplified by our list of ethics and compliance winners of 2019.
A popular bill intended to crack down on illegal robocalls has passed House and Senate votes with overwhelming majorities and will soon make its way to President Trump’s desk for final approval.
The SEC voted to propose a new version of rules that would require resource extraction issuers to disclose payments made to foreign governments or the U.S. federal government for the commercial development of oil, natural gas, or minerals.
In comments submitted to the California attorney general’s office, businesses seek much greater clarity on the soon-to-be-in-force California Consumer Privacy Act.
The Department of Justice has revised its policy regarding voluntary disclosures of export control and sanctions violations.
Amid controversy surrounding proposed changes to the SEC’s whistleblower program, Chairman Jay Clayton continues to stress any adjustments won’t include a cap on awards.
The Department of Justice guidance released over the summer contains some of the most specific insight to date into the type of compliance program that the Department, and prosecutors, expect organizations to have in place. With much of the focus being around having a program that works in practice, the ...
Paul Volcker, former chairman of the Federal Reserve and eponym to the controversial Volcker rule of the Dodd–Frank Act, died Sunday. He was 92.
New interagency guidance issued this week brings good news for compliance officers of banking institutions with hemp-related customers.
Republicans and Democrats have differing opinions on the rights and role of a federal privacy law, but both sides agreed at a Senate Commerce Committee hearing Wednesday the time to act is now.
“Message received,” SEC Chairman Jay Clayton said as panelists at his discussion on global macroeconomic trends emphasized how technology is affecting markets and why regulators must lead rather than follow.
A closer look at new standards issued in May by the Auditing Standards Board will aid auditors in conferring with clients before 2020 reports arrive.
The U.K. Information Commissioner’s Office has released guidance that lays out four principles—based on the GDPR—companies must consider when applying AI to their systems.
Margrethe Vestager, European commissioner for competition, once again rallied against Big Tech in a Nov. 29 speech. The politician has promised more oversight of search engines, online marketplaces, social media networks, and app sites to ensure fair markets.
Senate Democrats have proposed a new federal data privacy bill that seeks to empower consumers and support their civil rights in the digital economy.
The Department of Justice this month made a few minor adjustments to its Corporate Enforcement Policy that are worth a closer look, as these changes could impact when compliance officers and corporate counsel decide to self-report a potential Foreign Corrupt Practices Act violation.
A new survey from the U.S. Chamber of Commerce and Nasdaq says the number of companies identifying conflicts of interest at proxy advisory firms has almost doubled.
Federal agencies struggle to categorize digital coins as currency, securities, commodities, property, or something else—but even as they dither, some big companies strive forward in the digital assets arena.
Applications that serve women’s health needs could soon be held to a higher standard of accountability for protecting users’ data if they become classified as “covered entities” under HIPAA.
If enacted, legislation on corporate board diversity would require the SEC to work on strategies to increase gender, racial, and ethnic diversity on corporate boards.
A recent survey says a majority of Americans don’t trust data privacy policies and procedures, even while U.S. companies are hastening to enhance them in advance of the California Consumer Privacy Act’s implementation.
Officials from a pair of EU data privacy sanctioning bodies stressed importance of data protection officers and good-faith efforts to comply with GDPR.
Touting the SEC’s recent accomplishments, Chairman Jay Clayton maintains modernization helps advance the regulator’s “tripartite mission” and gives some hints about next year’s agenda.
In a lawsuit filed against the SEC, advisory firm ISS argues that, contrary to SEC opinion, proxy advice is not a solicitation under securities laws.
A case examining the meaning of “disgorgement” and whether the SEC can obtain it via a court order could affect a practice the regulator has used for decades.
The Department of Justice’s top antitrust official warns tech giants the government is being “extra vigilant” about sniffing out anticompetitive behavior deriving from mass data collection, mindful of its harmful effects on both users and competitors.
The Department of Justice has announced the formation of the new Procurement Collusion Strike Force, which will focus on deterring, detecting, investigating, and prosecuting antitrust crimes.
SEC Chair Jay Clayton and Commissioner Elad Roisman, among others, convened a roundtable to explore proposals to proxy voting rules calling for consistent regulation across the markets and better disclosure of conflicts to clients.
The FTC has submitted comment on NIST’s draft Privacy Framework, praising the agency for its proposal to help firms open a privacy dialogue and suggesting five amendments to improve upon the draft.
The International Conference of Data Protection and Privacy Commissioners offered varying perspectives on the latest in data privacy and technology from the likes of regulators, experts, and campaigners.
Wide-ranging questions target Libra, discriminatory housing ads, lack of diversity at Facebook, and whether Facebook’s CEO actually read the hearing packet the committee sent to him.