All United States articles – Page 236
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ArticleSEC once again dragged into fight over mandatory arbitration
The SEC was spared setting mandatory arbitration policy when New Jersey’s attorney general argued a shareholder initiative proposed for Johnson & Johnson would be illegal.
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PodcastMary Gentile on values-driven leadership
Mary Gentile, director and creator of Giving Voice to Values, joins columnist Tom Fox to discuss the benefits of a values-driven approach to leadership development.
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ArticleNYDFS: Implementation deadline for cyber-security regulation approaching
The final implementation period for the New York Department of Financial Services’ landmark cyber-security regulation ends March 1, meaning that DFS-regulated entities and licensed persons covered by the regulation must be in full compliance by that time.
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Article
An inside look at False Claims Act enforcement
Deputy Associate Attorney General Stephen Cox in remarks this week offered some key insight into the Department of Justice’s enforcement principles, policies, and perspectives that guide its False Claims Act enforcement.
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Blog
U.S. Treasury sanctions Petroleos de Venezuela
The Department of the Treasury’s Office of Foreign Assets Control has designated Venezuelan state-owned oil company Petroleos de Venezuela under Executive Order 13850 for operating in the oil sector of the Venezuelan economy.
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BlogTreasury lifts sanctions on Rusal, En+, ESE
The U.S. Department of Treasury announced that it has lifted sanctions on three companies controlled by Russian oligarch Oleg Deripaska: power company EuroSibEnergo, aluminum producer UC Rusal, and Rusal’s parent company, En+ Group. Following this news, En+ Group announced an overhaul of its board of directors.
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Article
Huawei Technologies and U.S. affiliate indicted for theft of trade secrets, wire fraud
In court documents unsealed Jan. 28, a grand jury this month returned a 10-count indictment by two affiliates of Chinese telecommunications conglomerate Huawei Technologies for theft of trade secrets, wire fraud, and obstruction of justice.
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ArticleFinding good in the government shutdown
With the longest government shutdown in U.S. history leaving many federal employees without a salary and a nationwide mess in its wake, many companies are stepping up and leading by example—demonstrating not just what they stand for, but what they stand up for.
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Blog
Waters builds new agenda for Financial Services Committee
With new leadership, Rep. Maxine Waters (D-Calif.), the House Financial Services Committee is setting its agenda for the new session of Congress.
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Article
Bezos fallout: Disclosure and divorce
When a CEO is in the midst of a divorce, as Amazon’s Jeff Bezos is, does that personal matter rise to the level of shareholder materiality? There are no easy answers, only slippery slopes.
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ArticleCounterpoint: Deregulation aids the majority
Stockton University Professor of Finance Dr. Michael Busler says regulating industry can be very costly to consumers.
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ArticlePoint: Regulation is a stabilizing force
Santa Clara University behavioral finance professor Hersh Shefrin says regulation is a remedy for a host of imperfections that interfere with well-functioning markets.
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ArticleQ&A: Five questions with a TPRM specialist
Abercrombie & Fitch Senior Compliance Counsel Rob Seibel, a specialist when it comes to the implementation of a third-party risk management program, discusses trends and challenges around managing risks with third parties.
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ArticleUnfinished business, lingering questions guide regulators into New Year
In 2019, regulators look to build on initiatives that began last year while tackling increased political tensions.
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Article
OFAC to lift sanctions on three Russian companies
The U.S. Department of the Treasury’s Office of Foreign Assets Control notified Congress on Dec. 19 of its intention to lift sanctions imposed on three Russian companies.
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BlogTesla adds two new independent directors
As part of a deal reached with the Securities and Exchange Commission in September, Tesla has added two new independent directors to its board: Oracle co-founder Larry Ellison and Kathleen Wilson-Thompson, global chief human resources officer of Walgreens Boots Alliance.
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ArticleHow compliance officers can shape enforcement in 2019
Compliance officers and in-house counsel will increasingly be expected to play a leading role in the Justice Department’s efforts to combat fraud in all areas in 2019.
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Article
SEC enforcement priorities for 2019
The Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.
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ArticleAs tensions grow, so do China-related compliance risks
Tariffs, trade secrets, and arrests fuel high-risk scenarios for companies that do business with organizations in China.
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PodcastEllen Hunt of AARP on compliance at board level
Ellen Hunt, the senior vice president, audit, ethics, and compliance officer at AARP, joins columnist Tom Fox to explain the benefits she feels having a compliance expert on the board of directors at a company provides.