All articles by Joe Mont – Page 39
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Blog
SEC flexes muscles against man who faked Fitbit news
The SEC has announced fraud charges against a Virginia man who profited from a scheme to manipulate the price of Fitbit stock by using a phony regulatory filing.
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Article
Treasury Secretary tries to make sense of shifting bank regs
Why do Republicans and President Trump keep hyping a new Glass-Steagall Act? Treasury Secretary Steven Mnuchin tried to answer that and other burning regulatory questions.
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Blog
Executive Order focuses on cyber-threats, agency responses
President Donald Trump has issued an Executive Order that lays out a variety of cyber-security tasks for government agencies and formalizes how they report back to the Executive Branch.
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Blog
Washington reacts to a month of cyber-attacks
In the aftermath of one of the largest global cyber-attacks in history, Congress is considering new legislation and quizzing the FCC over a separate attack that compromised its collection of public comments on net neutrality.
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Blog
Bill seeks to restore OSHA recordkeeping rules
Democrats in both chambers of Congress have sponsored legislation to reinstate OSHA recordkeeping rules that were nullified by President Trump in April using the Congressional Review Act.
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Article
The director dilemma: a love/hate relationship with shareholders
One lesson to come out of the Wells Fargo shareholder meeting: Directors and shareholders should fight to preserve their contentious relationship.
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ArticleKurt Drake: The integration master
Before joining Kimberly-Clark as its chief ethics and compliance officer in 2016, Kurt Drake already had more than 20 years of global ethics and compliance and finance experience.
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ArticleWith a new chairman, SEC readies its focus on IPOs, capital formation
Expect a focus on capital formation and improving the stagnant marketplace for public offerings under new SEC Chairman Jay Clayton.
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Article
Obama’s ‘fiduciary duty’ rule may be living on borrowed time
Free-market advocates are gaining traction to overturn the Obama administration’s rule that places additional responsibilities upon financial services representatives.
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Blog
SEC charges CEO with failing to disclose perks to shareholders
A former CEO will pay $5.5 million to settle SEC allegations that perks, benefits, and other forms of compensation were not properly disclosed to shareholders.
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Blog
SEC's new chairman fills key posts
Jay Clayton, the recently confirmed chairman of the SEC, has named his new chief off staff and a new director of the Division of Corporation Finance.
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Blog
Senate falls short in effort to repeal environmental regulation
Republican in the Senate failed to muster needed support for the repeal of an Obama Administration regulation regarding methane emissions.
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Blog
Gottlieb approved as FDA commissioner
President Donald J. Trump’s pick to head the Food and Drug Administration, Dr. Scott Gottlieb, was confirmed this week by a 57-42 vote in the Senate.
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Blog
Dems call on SEC, CFTC to investigate top Trump advisor
Senate Democrats are asking the CFTC, SEC, and EPA to investigate Carl Icahn, a top adviser to President Trump, for potential insider trading and market manipulation.
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Blog
Bipartisan bill targets human trafficking
Recently filed, bipartisan legislation seeks to further engage and empower financial institutions when it comes to identifying and reporting suspicions of human trafficking.
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ArticlePeter Driscoll: The risk detective
Under Peter Driscoll’s lead, the SEC Office of Compliance Inspections and Examinations uses a risk-based approach to fulfill its mission to promote compliance with U.S. securities laws.
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Article
How compliance, data sharing empower FinCEN’s war on terror and crime
Addressing Congress, FinCEN Acting Director Jamal El-Hindi discussed how his agency prevents bad actors from infiltrating the financial system.
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Blog
CFPB seeks public input on review of mortgage servicer rule
The CFPB is turning to the public for help as it reassesses the effectiveness of a nearly five-year-old slate of rules for mortgage servicers under the Real Estate Settlement Procedures Act.
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Blog
CFTC seeks public input on Project KISS, simplifying rules
Taking its lead from a recent White House decree for other agencies, the CFTC is turning to the public for help in simplifying and modernizing its rules and their application.
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Blog
Dodd-Frank dismantling passes first big legislative hurdle
The Financial CHOICE Act, bill that seeks to strip away much of the Dodd-Frank Act, will move on to a vote in the House of Representatives, following a 34-26 vote in the House Financial Services Committee.