All Regulatory Policy articles – Page 58
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ArticleQuality compliance can now earn antitrust leniency
A Justice Department policy change–to evaluate corporate compliance programs as a potential leniency factor on antitrust cases–has come to fruition through announcements made this week.
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ArticleFed Chair urges caution with Facebook virtual currency venture
Count Federal Reserve Chairman Jerome Powell and several members of Congress as concerned observers of Facebook’s planned foray into the world of virtual currency.
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SEC’s Clayton emphatically defends Reg. BI
SEC Chairman Jay Clayton, speaking to an audience of financial professionals in Boston, vigorously defended Regulation Best Interest and came out swinging against critics.
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Warren, Dems seek mandatory climate disclosures
Senator Elizabeth Warren (D-Mass.) has reintroduced the Climate Risk Disclosure Act, legislation that would require public companies to disclose their exposure to climate-related risks.
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Agencies exclude community banks from the Volcker Rule
Five federal financial regulatory agencies announced this week they have adopted a final rule to exclude community banks from the Volcker Rule.
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ArticleRegulatory events: What’s hot this summer!
Here’s a look at some upcoming events and training from regulators like the SEC, DOJ, and PCAOB.
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ArticleSEC shores up details on ‘short-termism’ roundtable
An upcoming SEC roundtable on July 18 will seek to identify potential market practices and regulatory changes that could encourage increased long-term strategies and investments.
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ArticleSEC's Clayton reignites debate about pairing of enforcement, waivers
In a potential boon for businesses, SEC Chairman Jay Clayton says qualifications for waiver issuances may no longer be delayed due to lingering accusations of misconduct.
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FDIC report: Five common consumer compliance issues
The FDIC recently issued the first edition of its “Consumer Compliance Supervisory Highlights” report, intended to enhance transparency around consumer compliance supervisory activities.
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House moves to cut funding for SEC’s Regulation Best Interest
Joining the growing discontent with the SEC’s Regulation Best Interest, Democrats in the House of Representatives have passed legislation that could starve the quasi-fiduciary standard for investment advice of funding.
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FedEx sues Feds over export control burdens related to Huawei dispute
Shipping giant FedEx is suing the federal government in an effort to reverse what it says are impossible to achieve compliance burdens imposed by the Department of Commerce.
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ArticleGlobal regulators strike against shady ‘manufactured credit events’
International regulators are joining forces to strike against what they deem as “opportunistic strategies” and “manufactured credit events” in the multi-trillion-dollar derivatives marketplace.
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ArticleCongress takes aim at Big Tech with new bills
Bills working through Congress would make it harder for tech companies to profit from consumer data and force them to better secure networked devices.
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ArticleSenate approves Lee nomination to SEC
The Senate has approved President Trump’s nomination of Allison Herren Lee, a former aide to Kara Stein, to a seat on the Securities and Exchange Commission.
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ArticleSEC seeking comment on ways to harmonize private securities offering exemptions
The SEC is requesting public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections.
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ArticleCongress shows new resolve to combat shell companies
The United States seems poised to finally tackle issues surrounding shell companies and their often-opaque beneficial ownership structures.
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ArticleBreaking up is dumb to do
Is splitting up big tech companies a cure for their outsized influence? Probably not.
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ResourceWhite paper: Global Regulatory Outlook – Are We There Yet?
Following the 2008 financial crisis, regulatory compliance has come to play an ever-larger role in the lives of financial institutions. Regulatory requirements have become more complex and enforcement scrutiny has increased.
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ArticleAntitrust argument the latest attempt to regulate Big Tech
Congress and presidential candidates alike are escalating their efforts to thwart the dominance of the tech giants.
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ArticleStates continue to fill federal data privacy void
While Congress largely remains mired in hearings and pre-election posturing, states are increasingly putting their own scrutiny on large tech companies and their data collection policies.