All Rules & Proposals articles – Page 7
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Blog
CFTC could overhaul cross-border derivatives approach
CFTC Chairman J. Christopher Giancarlo plans to spearhead new rule proposals to address a range of cross-border issues with swaps regulation.
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Blog
Senators urge FTC crackdown on child privacy
Senators Edward J. Markey (D-Mass.) and Richard Blumenthal (D-Conn.) are calling upon the FTC to investigate the practices of app developers and app stores accused of accessing children’s sensitive data without required consent.
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Blog
Federal court: Virtual currency is a commodity, in CFTC purview
A federal court has ruled that the Commodity Futures Trading Commission has the power to prosecute fraud involving virtual currency.
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BlogA thumbs up for smaller banks sharing BSA AML resources
Federal bank regulators have announced that certain community banks and credit unions may share resources in an effort to bolster Bank Secrecy Act compliance and anti-money laundering obligations.
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Article
Sexual harassment legislation gaining momentum at state level
Numerous states over the past few months have passed laws, or have legislation in the works, that seek to prevent sexual harassment in the workplace, and that means stringent new compliance obligations for companies.
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ArticleWhile supportive, tech companies haggle over federal privacy law
Well past the point of omens, it seems that a federal consumer privacy law is imminent. But what should that law be? How should it mimic GDPR requirements and those of states like California? The devil may be uploaded with the details.
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Blog
SEC’s Jackson criticizes stock exchanges, promises reforms
The time has come to reform America’s stock markets. That was the message from SEC Commissioner Robert Jackson during a speech this week at George Mason University, where he laid out potential changes.
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Article
Public sounds off to SEC on proposed whistleblower changes
As part of a public comment process that reached its deadline on Sept. 15, the SEC has collected ideas and opinions on proposed changes to its whistleblower program. We took a look at some of the responses.
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Blog
SEC monitoring Hurricane Florence
The Securities and Exchange Commission, in a statement on Friday, said it is “closely monitoring the effects of Hurricane Florence” on investors and capital markets. It will consider extending deadlines for filings and other regulatory requirements.
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Blog
House panel advances slate of reform-minded bills
The House Financial Services Committee this week advanced 12 bills. Among them is a modification of the Sarbanes-Oxley Act so that small, privately owned non-custodial brokers and dealers are no longer required to hire PCAOB-registered audit firms to meet annual reporting obligations.
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Blog
SEC chairman weighs in on role of guidance
Reacting, in part, to a recent statement by banking regulators regarding the role of guidance in their regulatory regimes, SEC Chairman Jay Clayton has clarified his own views on the topic.
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Blog
NLRB proposes change to joint-employer standard
On Friday, the National Labor Relations Board will publish a Notice of Proposed Rulemaking in the Federal Register regarding its joint-employer standard, a policy that will particularly affect franchise owners.
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Blog
Barbara Boehler joins Compliance Week as Director of Programming
Compliance Week on Monday announced the hiring of Barbara Boehler as its new Director of Programming. She will play a leading role in planning all live CW events in addition to developing in-depth reports, surveys, and Webinars.
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Blog
CFPB, amid controversy, names new advisory committees
The Consumer Financial Protection Bureau has announced the appointment of new experts from outside the federal government to the Consumer Advisory Board, Community Bank Advisory Council, and Credit Union Advisory Council.
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Article
New guidance (somewhat) relaxes federal contractors’ compensation audits
The Labor Department’s Office of Federal Contract Compliance Programs has released a new directive outlining the agency’s procedures for reviewing contractor compensation practices that promises “greater transparency, consistency, and efficiency in compliance evaluations.”
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Blog
Roisman confirmed as newest SEC commissioner
With a vote of the full Senate this week, Elad Roisman, a Republican nominated to replace Michael Piwowar, was confirmed to the Commission with bipartisan support. He was opposed by only 14 Democrats in the final vote.
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Blog
NIST seeks to expand framework to consumer privacy
The Department of Commerce’s National Institute of Standards and Technology has launched a collaborative project “to develop a voluntary privacy framework to help organizations manage risk.”
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Podcast
Podcast: Don’t gloss over print document compliance, GDPR
In this edition of the Compliance Week Podcast, we chat with Dennis Amorosano of Canon Information & Imaging Solutions about the often-overlooked need for print compliance and how your seemingly harmless office printer could cause GDPR and other data security headaches.
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Blog
NASAA expands coordinated crypto-crackdown
The North American Securities Administrators Association says more than 200 active investigations of crypto-currency-related investment products are currently underway by state and provincial securities regulators in the United States and Canada as part of “Operation Cryptosweep.”
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Blog
OCC opens public comment phase for modernizing CRA
The Office of the Comptroller of the Currency has is now seeking public comments on the best ways to modernize the regulatory the Community Reinvestment Act.