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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC Sets Aug. 5 Date for Considering Final Pay Ratio Rule
The wait is over. On Aug. 5, the Securities and Exchange Commission will consider whether to adopt a rule requiring public companies to disclose the ratio of the annual total compensation of the chief executive officer to the median of the annual total compensation of the company’s employees. The proposed ...
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Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
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PremiumNew era dawns on crypto industry with SEC dismissal of Coinbase case
The Securities and Exchange Commission dismissed its lead case against the cryptocurrency industry, a lawsuit against crypto exchange Coinbase, signaling an about-face in the agency’s enforcement approach toward digital assets under President Donald Trump.
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PremiumCFTC first agency to describe self-reporting credit under Trump
The CFTC issued new guidance for firms seeking to self-report misconduct, accompanied by a “mitigation credit index” that details how “exemplary” cooperation and remediation can knock up to 55 percent off the final penalty. The agency is the first enforcement agency to issue self-reporting guidance under President Donald Trump.