All Regulatory Policy articles – Page 45
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A decade later, Dodd-Frank remains unfinished. Will Gary Gensler’s SEC close it out?
When the Dodd-Frank Act passed in 2010, an urgency existed to enact its many provisions. A decade later, 11 of its rules remain unfinished. Will a change in leadership at the SEC get the law across the finish line?
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ArticleHardball politics at play in leadership changes at PCAOB, CFPB
No federal agency is truly immune from politics—even the ones that are supposed to be independent. That is what’s playing out at the PCAOB and CFPB as Democrats utilize similar tactics coined by their Republican counterparts.
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ArticleTech giants support G7 global minimum corporate tax agreement
Finance ministers from the G7 reached an historic international tax agreement that will impose a new global minimum corporate tax. Among those expected to be most affected are technology giants, but they say they support the move.
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ArticleBiden memo establishes fighting corruption as national security priority
A new directive released by President Biden instructs U.S. federal agencies to make combating corruption a national security interest. Compliance practitioners in the financial services industry, particularly, may feel the ripple effect
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ArticleSEC pauses proxy voting rule enforcement amid review
SEC Chairman Gary Gensler announced he is directing staff to consider whether to recommend further regulatory action regarding proxy voting advice, leading the agency to pause related enforcement activity.
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ArticleNYC Bar framework seeks clarity on when CCOs face SEC charges
The New York City Bar Association has proposed a framework for regulators like the SEC to use when considering charging chief compliance officers for misconduct that occurs on their watch.
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ArticleEU probes of Microsoft, Amazon reignite calls for new Privacy Shield
European investigations into whether Amazon and Microsoft’s cloud-based services infringe EU privacy rules have once again shone a spotlight on how—and when—the United States and the European Union intend to come up with a new Privacy Shield.
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ArticleSenate steps in to save CFTC’s whistleblower program
In an attempt to save the whistleblower program at the CFTC, the Senate approved a bill to create a separate fund to pay whistleblowers rather than having the office draw on penalties levied against wrongdoers.
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ArticleGDPR’s future: Fine amounts, transparency among top points of contention
Experts believe the GDPR is largely “future-proof,” though fine decisions that vary considerably from one EU country to the next and lack of transparency remain areas of concern for the privacy law three years in.
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ArticleESG materiality, disclosures spur opposing views at SEC
The SEC has taken numerous steps indicating its intention to require public companies to disclose ESG risks, but the question of how such disclosures will work in practice is still very much unanswered.
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ArticleThree years of GDPR: Many milestones, but calls for change increase
Despite its achievements, the General Data Protection Regulation’s flaws have become evident. Some are already questioning whether the regulation—and the way it is regulated—are fit for purpose and whether the law needs to be changed.
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ArticleSurvey: Data access further complicated by emerging privacy laws
A recent survey of 100 executives from Fortune 500 companies found more than half are struggling to balance easy access to company data with privacy and security compliance under laws like the GDPR and CCPA.
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ArticleCompliance ‘well-situated’ to handle increasing ESG scrutiny
An expert panel at CW’s 2021 National Conference agreed that compliance is uniquely positioned to help companies in their ESG initiatives. The CCO and chief sustainability officer at FedEx share how this may look in practice.
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ArticleGerman supply chain draft legislation expected to have far-reaching effect
Companies of a certain size with ties to Germany must soon establish robust due diligence procedures to prevent human rights and environmental abuses both within the course of their own business activities and within their global supply chains.
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ArticleEU Whistleblowing Directive a ‘potential minefield’ for compliance
An EU directive designed to harmonize whistleblower protections could produce complexity as lawyers warn there are likely to be wide variations in the level of security each country’s national law will offer.
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ArticleGameStop fallout: SEC’s Gary Gensler eyes reducing stock settlement period
New SEC Chairman Gary Gensler discussed shortening the settlement period for trades and requiring new disclosures by broker-dealers as part of testimony before Congress regarding this year’s GameStop stock surge.
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ArticlePrivate right of action proving problematic for state privacy laws
An enforcement provision allowing customers to sue businesses that misuse their personal data is a key stumbling point for state-level data privacy legislation.
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ArticleTips for keeping pace with ever-evolving sanctions
The constantly changing sanctions landscape is much easier to navigate with a proper understanding of risk exposure. Here’s where firms can get started.
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ArticleWhat you need to know about proposed EU rules for trustworthy AI
With various levels of defined risk and the potential for steep fines for offenders, the European Commission’s recent proposal to ensure trust in the use of artificial intelligence should receive urgent attention from industries beyond Big Tech.
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ArticleGDPR one-stop shop ‘unsustainable,’ says key regulators
Irish Data Protection Commissioner Helen Dixon and European Data Protection Supervisor Wojciech Wiewiórowski are among those who believe the one-stop shop provision of the GDPR needs to be reformed for the long term.