All Regulatory Policy articles – Page 59
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ArticleBill demands ownership reveals for shell companies
The newly proposed ILLICIT CASH Act would, for the first time, require shell companies to disclose their true owners to the U.S. Department of Treasury.
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ArticleRegulators globally still call for better audits
While encouraged by the trend in audit inspection results, global audit regulators report they are still seeing levels of audit deficiency that command continued focus on improvement.
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ArticleTop Mind of Tomorrow: ‘Hope to pay it forward’
Top Mind of Tomorrow Hannah Levine relays her experience at the recent CW annual conference.
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ArticleNew bill seeks to end regulatory stalemate with China
Bipartisan legislation proposes to increase oversight on China-based companies listed on U.S. exchanges and delist those that fail to comply in three years.
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ResourceWhite paper: Global Digital Communications Compliance for Regulated Industries
Financial services, pharmaceuticals, healthcare, and energy are some of today’s most regulated industries. And their compliance risks have only grown as modern business evolves. And you must comply with new rules that govern email, the web, social media, and more.
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ArticleSEC finally prevails with investment advice ‘best interest’ rule
The Securities and Exchange Commission has adopted rulemaking intended to enhance the quality and transparency of investor relationships with investment advisers and broker-dealers.
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ArticlePolicy change previewed by DOJ a tip of the cap to compliance
A change to the DOJ’s leniency program could be good news for companies that can demonstrate an effective compliance program.
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Resourcee-Book: Riding California’s Wave of Regulatory Developments
California has not only been on the forefront of emerging technologies, it’s also been the most active state when it comes to regulating that new tech, especially when it comes to data privacy.
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ArticleNot just blowing smoke: Time to take cannabis compliance seriously
As cannabis legalization spreads, so too do the risks and challenges for businesses.
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ArticleSEC focus: Reduce burden while protecting investors
The SEC has stuck to its promise to focus on initiatives that can improve capital formation and lighten the regulatory burden.
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ArticleSEC to hold roundtable on public marketplace
Coming this summer: An SEC roundtable for the public and SEC staff to discuss short-term and long-term management, the periodic reporting system, and SEC regulations.
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Commerce unveils new attack on ‘currency manipulation’
The Department of Commerce has issued a notice of proposed rulemaking to impose countervailing duties on countries that act to undervalue their currency relative to the dollar.
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ArticleTakeaways from Compliance Week 2019
The 14th annual Compliance Week conference is in the books, and with it more than 60 sessions filled with helpful anecdotes, shared best practices, career advice, and much, much more.
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ArticleHappy birthday, GDPR: A look back at Year 1
As the EU’s General Data Protection Regulation celebrates its first “birthday,” an expert panel met at Compliance Week 2019 to share their experiences in prepping, implementing, and following up.
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ArticleClaire McCusker Murray: Incentivizing corporate compliance at the DOJ
Justice Department Principal Deputy Associate Attorney General Claire McCusker Murray spoke at CW’s annual conference on how the agency’s Civil Division seeks to motivate compliance.
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ArticleCompanies House reforms to better protect U.K. companies from criminal activity
Companies House recently unveiled a substantial package of reforms that will do more to safeguard the personal data of business owners in an effort to offer U.K. companies greater protection from fraud.
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ArticleGAO suggests supervisory improvements for bank regulators
Is there a better way for bank regulators to conduct their supervisory and remediation processes? Congress’ GAO developed a rundown of suggestions and best practices in a report released this week.
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ArticleMajor changes to California privacy law likely scuttled
An initiative to strengthen and enhance the California Consumer Privacy Act was basically left for dead in that state’s legislature.
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ArticleSEC approves ‘long-term’ stock exchange
The SEC has approved a new national securities exchange committed to long-term investing.
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ArticleCalifornia groups sue CFPB for shirking Dodd-Frank data collections
Two advocacy groups are suing the Trump administration and CFPB for failing to disclose data on lending to women-owned, minority-owned, and small businesses.