Regulatory Policy


SEC won’t delay Reg BI amid pandemic


The Securities and Exchange Commission has no plans to delay its controversial Regulation Best Interest rule despite the impact the ongoing coronavirus pandemic has had on U.S. markets.


Comparing the coronavirus stimulus package to 2008 relief


Unprecedented in scope, Congress’ $2 trillion coronavirus stimulus package significantly dwarfs relief packages passed during the 2008 financial crisis while also reflecting some lessons learned.


SEC provides new coronavirus disclosure guidance


The SEC’s Division of Corporation Finance published guidance to provide clarity regarding its view on disclosure and other securities law obligations during the escalating coronavirus pandemic.

Sick business

So your company’s CEO has coronavirus. Does the world have to know?


As infections stemming from the coronavirus pandemic continue to mount around the world, publicly traded companies face questions about when and where to disclose that their CEO or other key executives have contracted the virus.


Coronavirus begins disrupting public companies’ financial reporting


Companies are reporting ways in which the coronavirus pandemic is hurting their bottom lines, as well as steps they are taking to reduce spending as disruptions ripple through their supply chains and rattle their customer bases.


SEC filer definition changes aim to promote going public


The SEC’s revisions to definitions of accelerated and large accelerated filers should provide relief to smaller issuers and reduce costs for certain public companies.


FCA seeks comment on proposed climate-related disclosure requirements


The U.K. Financial Conduct Authority is asking for comment on newly published proposals outlining climate-related disclosure requirements for premium listed issuers.


CFPB the latest federal agency to propose whistleblower program


The Consumer Financial Protection Bureau wants Congress to authorize a program that would reward whistleblowers who provide tips leading to successful prosecutions.


SEC extends filing deadlines for firms impacted by coronavirus

2020-03-04T19:57:00+00:00By DeAnn Orie

Certain companies have been granted a reprieve by the SEC, which is extending some filing deadlines due to coronavirus interference.

Supreme Court

CFPB’s leadership structure, SEC’s authority on SCOTUS docket this week


The Supreme Court will hear arguments this week in cases that question whether the current structure of the CFPB is constitutional, and whether to curb the SEC’s power to return funds to fleeced investors.

regulatory events 2019

Regulatory events coming this spring

2020-02-25T20:31:00+00:00By DeAnn Orie

Check out information on upcoming events from such regulators as the SEC, FINRA, CFPB, and more.

DOJ building

DOJ antitrust official defends compliance credit initiative


A high-ranking member of the Department of Justice’s Antitrust Division addresses a recent policy change that evaluates corporate compliance programs as a potential leniency factor in antitrust cases.

US whistleblower

Whistleblowers finding system stacked against them


Are whistleblowers getting the short end of the stick? A recent case highlights one way in which the process for government rewards might be perceived as unfair.


Antitrust Division remarks on changes to model corporate plea agreement


The DOJ’s Antitrust Division last year quietly updated language contained in its “Model Annotated Corporate Plea Agreement,” as it applies to cooperation. Recent remarks provide more color around those changes.


FASB Chairman Golden’s agenda setting 101


Have you ever wondered how FASB decides what issues to include in its technical agenda? Chairman Russell Golden explained recently the process for identifying the right accounting issues to address.


Treasury Secretary sets goal for cryptocurrency regulation


Taking into account the Trump administration’s trade concerns involving cryptocurrencies, the Treasury Department has announced it will roll out new regulations later this year.


Powell: Legislation to address LIBOR transition unlikely


Federal Reserve Chair Jerome Powell told Congress he does not expect federal legislation will be needed to address the demise of the London Interbank Offered Rate, which is set to expire in 2021.


PCAOB, CFPB big losers in Trump’s proposed budget


President Trump’s proposed budget for fiscal year 2021 effectively calls for an end to the PCAOB beginning in 2022, while the CFPB would be subject to major funding cuts as soon as next year.

Brexit star

Experts weigh in on Brexit consequences for GDPR, AML, more


The wheels to the United Kingdom’s exit from the European Union are finally in motion, but the hard work still remains as to what kind of future trading relationship the country has with the single market.


FTC, FDA to enhance antitrust oversight in biologics market


The Federal Trade Commission and Food and Drug Administration have signaled they will be increasing their oversight of any potential antitrust behavior in the biologics market.

Volcker rule

Proposed Volcker rule rollback gets pushback from agency leadership


Five federal agencies agreed that now would be a good time to ease restrictions on bank investments in hedge funds or private equity funds, triggering concern by some that the deregulation could be harmful. But is apprehension over the proposed Volcker rule relaxation overblown? cover img

White paper: Enforcement Actions: Monitoring Trends, Regulatory Complexity, and Best Practices for Risk Management

2020-01-24T10:55:00+00:00Provided by

Learn how financial compliance, risk, and crime professionals can efficiently track and monitor the growing number of enforcement actions and current trends in’s latest eBook.

Cyber locks

Proposed bill seeks to help non-federal entities improve cyber-security


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.


NAVEX Global: Top 10 compliance trends for 2020


A recent Webinar, and complementary report, from NAVEX Global offers a look at the top 10 risk and compliance trends for 2020.


Heartbreaker: SEC Commissioner Jackson to resign Feb. 14


Robert Jackson Jr., one of five commissioners at the Securities and Exchange Commission, confirmed Thursday his intention to resign from his post next month.


Treasury finalizes rules impacting foreign investments in U.S.


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-threats, regulatory change highlight top-10 risks study


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.


Tip sheet: 2020 priorities for accounting and audit regulators


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.


Comments sought on draft vertical merger guidelines


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.


Dodd, Frank challenge SEC’s Regulation Best Interest


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.


Top DOJ compliance official resigns; rejoins Morgan Lewis


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.

Stock data

SEC seeks to improve governance of public market data streams


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.


A modern, corporate-friendly SEC glides into 2020


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.

OCIE priorities

‘Perennial’ risks comprise OCIE’s 2020 examination priorities


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.

AI United States

White House proposes AI regulatory principles to limit government overreach


In sum, federal agencies should reject “rigid, design-based regulations” in favor of flexible approaches to artificial intelligence applications.


UK Finance slams overregulation in financial services sector


UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.


Special report: Compliance 2020


CW Editor in Chief Dave Lefort offers 10 predictions on what will dominate compliance headlines in 2020.


SEC plans to ease auditor conflict-of-interest rules


A proposed update to auditor independence rules relaxes restraints on affiliate relationships and initial public offerings.


Compliance 2020: A timeline

2020-01-02T14:03:00+00:00By Compliance Week

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 legislation requires ‘Women on Corporate Boards Study’


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.

columnist icons - kyle

Apple, Walmart among compliance winners of 2019


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.


Bill to combat robocalls heads to Trump’s desk


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.


SEC revives resource extraction disclosure rules


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.

California AG

Businesses seek CCPA clarity as California AG issues dire warning


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.


DOJ revises export control and sanctions enforcement policy


The Department of Justice has revised its policy regarding voluntary disclosures of export control and sanctions violations.


SEC’s Clayton: Talk of whistleblower cap ‘misguided’


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.


Webcast: New DOJ guidance in your compliance program

2019-12-12T14:16:00+00:00Provided by

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 ...


Former Fed Chair Paul Volcker passes away

2019-12-09T16:20:00+00:00By Compliance Week

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.


Federal banking regs ease hemp reporting requirements


New interagency guidance issued this week brings good news for compliance officers of banking institutions with hemp-related customers.

Roger Wicker

Republicans, Democrats spar over federal privacy bill


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.