Waters’ bill seeks to improve SEC waiver process
Congresswoman Maxine Waters has introduced a bill intended to ensure a fair and public process for waiving automatic disqualification provisions. The issue of waivers is a longstanding one for the Commission.
Related articles
-
Blog
Waters builds new agenda for Financial Services Committee
With new leadership, Rep. Maxine Waters (D-Calif.), the House Financial Services Committee is setting its agenda for the new session of Congress.
-
News BriefCommunication and relationships is increasingly critical for compliance teams
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.
-
PremiumUnder intense reg scrutiny, compliance teams report implementing off-channel comms policies
Three of four respondents to Compliance Week’s Inside the Mind of the CCO survey said their employers have policies and procedures in place that govern employee use of unauthorized communications on their cell phones. The survey, conducted in November and December, found that another 11 percent of the 179 practitioners ...