All Regulatory Policy articles – Page 43
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ArticleBiden nominates 3 to CFTC, including Rostin Behnam as chair
President Joe Biden announced the nomination of three individuals to serve as commissioners at the Commodity Futures Trading Commission, including the naming of Rostin Behnam as the agency’s full-time chair.
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ArticleWith SEC rulemaking imminent, ESG disclosure prep takes center stage
A deluge of SEC rulemaking on ESG matters could begin as early as next month, prompting Davis Polk’s Betty Moy Huber to kick off CW’s “Everything ESG” virtual event with an overarching message on the importance of preparation.
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ArticleDan Berkovitz departure to leave CFTC with 2 commissioners
The Commodity Futures Trading Commission will soon be down to two members with Democratic Commissioner Dan Berkovitz set to depart next month.
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Article
FTC tees up withdrawing vertical merger guidelines
The Federal Trade Commission, led by new chair Lina Khan, might withdraw its vertical merger guidelines finalized only last year at an upcoming open commission meeting.
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ArticleSurvey: New SEC marketing rule leads investment adviser compliance concerns
Implementing the SEC’s new “marketing rule” for investment advisers tops the list of concerns among chief compliance officers in the industry, according to new research.
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ArticleCompliance takeaways from FDA’s final ‘intended use’ rule
The U.S. Food and Drug Administration’s “intended use” final rule reaffirms the agency’s wide latitude of discretion in establishing an off-label use case against pharmaceutical and medical device companies.
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ArticleU.K. signals divergence from GDPR with new data transfer approach
The United Kingdom announced plans to strike independent data adequacy decisions with key countries—including the United States—as part of its post-Brexit economic strategy.
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ArticleSEC seeking info on risks, rewards of digital engagement practices
The SEC launched its first foray against risks posed by stock trading platforms like Robinhood with a request for information about how digital engagement practices affect the investment strategies of retail investors.
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ArticlePreparing for China’s new GDPR-like data privacy law
China is set to enact a tough data privacy law that mirrors the EU’s General Data Protection Regulation in content but likely will be more strictly enforced, experts say.
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ArticleChallenge to SEC’s Bank Secrecy Act authority backed by ex-FinCEN leadership
A brokerage firm petitioning the Supreme Court to review the power of the SEC to enforce the Bank Secrecy Act has received support from two former officials of the primary agency tasked with overseeing the AML law.
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ArticleCFTC due for shakeup with Brian Quintenz set to depart
The Commodity Futures Trading Commission will soon be down to three active commissioners, as Brian Quintenz announced he will depart the regulator at the end of the month.
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ArticleHamburg DPA warns Zoom incompatible with GDPR
The Hamburg data protection authority has warned local government departments to stop using Zoom because it believes the videoconferencing app is not compliant with the General Data Protection Regulation.
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ArticleFINRA notice outlines key areas for supervising third parties
The Financial Industry Regulatory Authority issued a notice on compliance deficiencies arising from firms’ relationships with vendors culled from examination findings.
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ArticleExperts: Gary Gensler and the SEC are coming after cryptocurrencies
Many in the cryptocurrency space would prefer Gary Gensler and the SEC leave the sector to function without much regulation, but experts predict he’ll take a heavy-handed approach.
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ArticleSEC approval of Nasdaq board diversity proposal adds to nationwide momentum
The SEC approved rule changes proposed by Nasdaq that will put in place a new board diversity mandate and further require companies listed on Nasdaq’s U.S. exchange to make public disclosures regarding the composition of their boards.
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ArticleEU guidance seeks to clarify role of AML/CFT compliance officers
The European Banking Authority is seeking comment on new draft guidelines that set clear expectations regarding the appointment, role, tasks, and responsibilities of anti-money laundering and countering the financing of terrorism compliance officers.
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ArticleActing FinCEN head to step down; new search underway
The Treasury Department has launched a public search for a new permanent director of the Financial Crimes Enforcement Network after the acting head of the agency announced his intentions to step down.
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ArticleSEC to revisit Trump-era whistleblower changes
The Securities and Exchange Commission will review two Trump-era changes to the agency’s whistleblower program, with an eye toward encouraging individuals to report wrongdoing.
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ArticleSEC seeks more risk disclosures from China-based companies
The SEC will require China-based public companies listed on U.S. exchanges to make more disclosures about the financial risks posed by potential interference in their operations by the Chinese government.
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ArticleProposed bill seeks to broaden False Claims Act whistleblower protections
A bipartisan bill before Congress proposes tweaking the False Claims Act to extend anti-retaliation protections for whistleblowers who are not formally employed by the company or organization on which they blew the whistle.