All Regulatory Policy articles – Page 25
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News BriefPolite: Voluntary self-disclosure rising since DOJ policy changes
The Department of Justice has seen an uptick in self-reported potential misconduct by corporations since it increased incentives for voluntary disclosure, according to Assistant Attorney General Kenneth Polite Jr.
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PremiumFive years in, GDPR still a lightning rod for criticism
The General Data Protection Regulation risks losing credibility if enforcement is not harmonized and privacy by design is not at the heart of tech innovation, said EU officials during a summit marking the fifth anniversary of the legislation.
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News BriefSurgeon general joins call to enhance children’s online privacy
The U.S. surgeon general issued a “call for urgent action” to policymakers about further limiting social media access for youth, along with enhancing online privacy protections for children.
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Resourcee-Book: Navigating changing U.S. data privacy landscape
Businesses are watching five U.S. states where new or amended consumer privacy laws are set to take effect this year. Learn best practices for confronting compliance with multiple state data privacy laws.
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ArticleExpert: It’s time to embrace artificial intelligence
The rapid rate at which technology is developing is staggering, particularly in relation to artificial intelligence. Can we, as compliance practitioners, keep up?
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OpinionHighlights from Compliance Week 2023
Significant changes in policy and technology, in addition to fresh perspectives on tried-and-true compliance topics, highlighted the discussion at Compliance Week’s 2023 National Conference.
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News BriefOpenAI CEO to Senate: AI could harm world without regs
It is a good idea to regulate artificial intelligence programs like ChatGPT, the chief executive officer of the popular chatbot’s developer told lawmakers.
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PremiumFour takeaways from Senate hearings on SVB, Signature Bank failures
Leaders at Silicon Valley Bank, Signature Bank, and the regulators who seized their banks testified before Congress across separate hearings.
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News BriefFTC warns businesses to risk assess uses of biometric technologies
Businesses that make false or unsubstantiated claims regarding facial recognition and other biometric technologies could face enforcement from the Federal Trade Commission, the agency warned in a policy statement.
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News BriefSEC proposal seeks risk stability for clearing agencies
The Securities and Exchange Commission proposed a package of rule changes designed to enhance the risk management responsibilities and resilience of covered clearing agencies.
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PremiumDOJ official: Compliance team access, visibility into data a sign of effectiveness
One of the ways the Department of Justice will assess a firm’s compliance program is by judging how accessible and visible a company’s data is to its compliance function, an agency official told attendees at Compliance Week’s 2023 National Conference.
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PremiumCW2023 leadership panel assesses new DOJ priorities, training impact
Recent policy changes at the Department of Justice provided plenty of fodder for a leadership panel of senior legal and compliance practitioners to discuss during Compliance Week’s 2023 National Conference.
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PremiumGlenn Leon at CW2023: CCO experience driving DOJ’s compliance program evaluations
Glenn Leon, head of the Department of Justice’s Fraud Section, said “compliance is a very big area of focus” for the agency, during a fireside chat at Compliance Week’s 2023 National Conference.
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PremiumCW2023: Lessons still to be learned from Bernie Madoff scandal, author says
The Bernie Madoff scandal came to light 15 years ago, but lessons from the notorious Ponzi scheme are as fresh as ever, author Jim Campbell said during his fireside chat at Compliance Week’s 2023 National Conference.
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News BriefFDIC proposes large banks cover $15.8B in losses from SVB, Signature Bank failures
The Federal Deposit Insurance Corporation issued a notice of proposed rulemaking regarding a special assessment on large banks to recover approximately $15.8 billion in losses attributable to the failures of Silicon Valley Bank and Signature Bank.
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PremiumExperts: Austrian Post GDPR ruling offers clarity on damages compensation
A decision by Europe’s Supreme Court regarding Austria’s main postal service might make it easier for the bloc’s citizens to bring legal claims for privacy breaches—with potentially unlimited scope for damages.
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News BriefNYDFS proposes enhanced character reviews for bank officers, including CCOs
Banks operating in New York would have to step up their vetting of executives and senior officers, including chief compliance officers, under new guidance proposed by the New York State Department of Financial Services.
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News BriefPCAOB finds ‘unacceptable’ deficiency rates in first China/Hong Kong inspections
The Public Company Accounting Oversight Board found seven of eight audit engagements it reviewed in China and Hong Kong contained “unacceptable rates” of deficiencies.
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News BriefNew York vies to lead way on cryptocurrency regulation
New York would be the first state in the nation to comprehensively regulate cryptocurrency under a sweeping bill introduced by Attorney General Letitia James.
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News Brief
SEC charges investment adviser in landmark Liquidity Rule case
The Securities and Exchange Commission charged New York-based Pinnacle Advisors and several mutual fund trustees with aiding and abetting violations of its Liquidity Rule—the agency’s first enforcement action related to the policy.