All articles by Lori Tripoli – Page 2
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Article
Technology at center of Clayton-moderated discussion at SEC
“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.
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ArticleBGC Financial to pay $3M for supervisory failures
BGC Financial was accused of various supervision, reporting, and recordkeeping violations that went on for more than five years in a $3 million enforcement action from the CFTC.
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ArticleMore companies pointing finger at proxy advisory firms
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.
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ArticleRegulators wary of crypto as digital assets go mainstream
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.
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Article
House passes bill requiring disclosure of diversity on corporate boards
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.
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ArticleSEC sees slight decrease in number of whistleblower tips fielded
The Securities and Exchange Commission, in its annual report to Congress, indicated it fielded 5,212 whistleblower tips in fiscal year 2019, down 1 percent from the record of 5,282 in FY2018.
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ArticleBest practices for choosing the right data privacy software
Don’t expect a plug-and-play technology solution to this complex new problem.
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ArticleSEC’s Clayton pushes modernization at UPenn speech
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.
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ArticleVerizon finds payment security declines for 2nd consecutive year
Although the Payment Card Industry Data Security Standard (PCI DSS) launched back in 2004, 15 years later, most organizations still struggle to adhere to it.
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ArticleISS asks court to toss SEC proxy adviser guidance
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.
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Article
U.S. Supreme Court to consider appropriateness of SEC disgorgement
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.
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ArticleCFTC whistleblower payouts, tips received drop in FY2019
The CFTC made a handful of big payouts to whistleblowers in fiscal year 2019, but denied awards on 129 applications in the same timeframe.
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ArticleUnder Armour facing SEC, DOJ accountancy probes
Following disclosure of the federal government’s investigation into allegations of sales manipulation dating back to 2017, sports apparel company Under Armour maintains its accounting practices are “appropriate.”
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ArticleHouse Financial Services Committee grills Facebook’s Zuckerberg
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.
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ArticleBig Tech, banking policymakers clash over cloud computing
The “move fast and break things” mantra of the tech world rubs up against a more rigid banking industry as the two find their way in the cloud—but is more legislation really necessary?
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ArticleLabeling employee a ‘compliance risk’ not defamation, says court
A former Biomet Argentina employee—in a bit of FCPA hot water—landed on his company’s restricted persons list, sued for defamation, and lost.
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Article
Fed rule tailors bank regulations to link requirements to risk
The Federal Reserve Board of Governors approved final rules that tailor its regulations for domestic and foreign banks to more closely link regulatory requirements to the institutions’ risk profiles.
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ArticleCalifornia governor gives nod of approval to 7 CCPA amendments
Amendments to the California Consumer Privacy Act add clarity, offer a BTB communication reprieve to businesses, and ensure consumers have a method for submitting more information requests.
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ArticleCalifornia AG’s proposed CCPA regs leave more questions than answers
Companies subject to the California Consumer Privacy Act requirements now have 24 pages of direction on how to comply with the new law. But will that be enough?
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ArticleSEC Bitwise Bitcoin ETF rejection may signal end to cryptocurrency trades
In a 112-page order, the SEC argued against allowing shares of the Bitwise Bitcoin exchange traded fund to be listed or traded because of the likelihood of financial crime surrounding the cryptocurrency.
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