All Regulatory Policy articles – Page 24
-
PremiumFed governor: Increased bank regulation may do more harm than good
Michelle Bowman of the Federal Reserve Board of Governors warned in a speech the agency’s response to the banking crisis might end up hurting the mid-sized financial institutions it is supposed to help.
-
PremiumFTC cases thrust COPPA compliance into spotlight
The Federal Trade Commission’s recent children’s privacy enforcement activity—including fines against Microsoft and Amazon—leaves no doubt businesses must make complying with the Children’s Online Privacy Protection Act a top priority.
-
PremiumCFTC commissioner crafting potential proposed rule on cyber resiliency
The Commodity Futures Trading Commission’s Technology Advisory Committee sponsored by Commissioner Christy Goldsmith Romero is crafting potential rulemaking to establish cyber resiliency baselines among swap dealers and futures commission merchants.
-
News BriefCFTC wants whistleblowers to help thwart carbon markets fraud
The Commodity Futures Trading Commission issued an alert regarding the identification and reporting of potential fraud or manipulation in carbon markets.
-
WebcastCPE Webcast: Compliance can be an advantage
Explore the people and business opportunities that lie at the intersection of evolving human capital management technology and employers’ complex compliance obligations.
-
PremiumAs AI Act moves forward, concerns of undermined GDPR persist
The European Union wants to bolster tech innovation within the single market as artificial intelligence is predicted to catapult economic growth, but some have expressed fears AI use might conflict with levels of automatic protection expected under the General Data Protection Regulation.
-
News BriefSEC spring 2023 regulatory agenda: 37 rules in final stage
The rest of the year is shaping up to be busy at the Securities and Exchange Commission, where final rules regarding climate-related disclosures, enhanced cybersecurity risk governance, and more are all on the near-term agenda.
-
WebcastCPE Webcast: Lessons learned from privacy enforcement actions and emerging trends
In 2023, more American organizations than ever need to comply with stricter and wider-reaching requirements for collecting and processing personal data.
-
ArticleThe importance of protecting client money
In today’s financial landscape, protecting client money and assets is a fundamental requirement of an effective compliance program. If client money is not protected, firms can suffer serious consequences.
-
News BriefOCC soliciting input on proposed trust in banking survey
The Office of the Comptroller of the Currency announced a request for information to implement an annual survey aimed at tracking public trust in banking and bank supervision.
-
PremiumHow will regulators’ increased scrutiny of banks play out in practice?
Federal banking regulators have indicated they will be more assertive in their supervision of mid-sized banks in the aftermath of the collapses of Silicon Valley Bank, Signature Bank, and First Republic Bank. What actions might they take?
-
News BriefTreasury to review its compliance, enforcement efforts
The Treasury Department announced steps it is taking to improve its own compliance efforts, including a reassessment of the way it pursues enforcement actions.
-
News Brief
SEC risk alert expands marketing rule exam focus areas
The Securities and Exchange Commission is expanding its examination focus regarding investment advisers’ compliance with its new marketing rule.
-
News BriefBanking regs seek consistency via new TPRM guidance
U.S. banking regulators combined to issue final guidance on managing the risks of third-party relationships that replaces the previous documentation each agency released individually.
-
News BriefSEC rule prohibits manipulating CCOs at security-based swaps
The Securities and Exchange Commission adopted two rules aimed at curbing potential misconduct in the security-based swaps market.
-
News BriefFlorida marks 10 U.S. states with data privacy laws
Florida became the 10th U.S. state to pass a comprehensive consumer data privacy bill, though its law will only apply to larger businesses with more than $1 billion in annual revenue.
-
News BriefPCAOB proposal puts pressure on auditors to find fraud
The Public Company Accounting Oversight Board proposed standard updates that would require auditors to enhance scrutiny toward potential instances of company noncompliance, including fraud, in their audit work.
-
PremiumFive years of GDPR: Experts forecast changes to come for landmark privacy law
The fifth anniversary of the European Union’s General Data Protection Regulation coming into force has highlighted the many successes of the legislation but also exposed areas where the law is still untested and unclear.
-
News BriefFormer SEC Chair Harvey Pitt dead at 78
Harvey Pitt, the former chairman of the Securities and Exchange Commission and an inaugural Compliance Week columnist, died. He was 78 years old.
-
News BriefOCC pledges harder stance on banks that allow weaknesses to fester
The Office of the Comptroller of the Currency could require large banks to take substantial actions to address persistent weaknesses, including restricting their growth or forcing them to divest from risky ventures.