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Cybersecurity Vulnerabilities Need Addressing
Strengthen cyber defenses by guiding organizational behavior and reducing tactical errors.
By
Craig Callé
| May 17, 2022
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Regulation
Regulation
SEC Finalizes Rules on Chinese Issuers
The commission will use the rules to apply a law that allows it to delist issuers for failing to open their books to the PCAOB.
By
Matthew Heller
| December 3, 2021
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Regulation
FTC Has ‘Concerns’ About Nvidia Deal to Buy Arm
The FTC's scrutiny comes amid "opposition from some big American tech companies that worry Nvidia will limit their access to Arm’s chip designs."
By
Matthew Heller
| November 18, 2021
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Regulation
PCAOB Revamped With Four New Members
“With these additions to the board, the PCAOB will have the leadership to meet the mission given to it by Congress.”
By
Matthew Heller
| November 9, 2021
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Regulation
Will the SEC Finally Approve a Tougher Clawback Rule?
A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.
By
Vincent Ryan
| October 11, 2021
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Regulation
Will the SEC Finally Approve a Tougher Clawback Rule?
A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.
By
Vincent Ryan
| October 7, 2021
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Technology
IMF Warns of Crypto Risks to Financial Stability
“The anonymity of crypto assets and limited global standards create significant data gaps for regulators.”
By
Matthew Heller
| October 1, 2021
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Risk & Compliance
Ex-Goldman Compliance Analyst Accused of Insider Trading
The SEC says a Spanish national abused his position in Goldman's compliance unit to make more than $471,000 in profits from insider trades.
By
Matthew Heller
| September 29, 2021
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Risk & Compliance
SEC Gives Bond Dealers 3-Month Reprieve
The commission has delayed enforcement of amendments to a disclosure rule amid concerns over its potential impact on the bond markets.
By
Matthew Heller
| September 27, 2021
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Risk & Compliance
Ad Giant WPP Fined $19M for FCPA Violations
The SEC says the company failed to properly supervise subsidiaries in foreign countries, resulting in bribery and other illicit schemes.
By
Matthew Heller
| September 24, 2021
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Technology
U.S. Slaps Crypto Exchange With Sanctions
In an unprecedented enforcement action, the Treasury Department says Suex OTC facilitated the laundering of illicit proceeds from ransomware attacks.
By
Matthew Heller
| September 21, 2021
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Risk & Compliance
Coinbase Shelves ‘Lend’ Amid SEC Pushback
Having to scrap the lending program "is a major blow for Coinbase as the firm tries to diversify revenue beyond its trading fees.”
By
Matthew Heller
| September 21, 2021
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Risk & Compliance
FTC Releases Study of Big-Tech Mergers
The report found that 616 deals of more than $1 million flew "under the radar" of antitrust reporting requirements between 2010 and 2019.
By
Matthew Heller
| September 16, 2021
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Risk & Compliance
Regulator Hits Wells Fargo With $250M Fine
The OCC says deficiencies in a Wells Fargo loan modification program constituted “reckless unsafe or unsound practices."
By
Matthew Heller
| September 10, 2021
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Risk & Compliance
Biden Mandates Vaccines for Large Companies
“We’re going to reduce the spread of COVID-19 by increasing the share of the workforce that is vaccinated in businesses all across America.”
By
Matthew Heller
| September 10, 2021
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Risk & Compliance
Coinbase Clashing With SEC Over Lending Platform
“If we end up in court we may finally get the regulatory clarity the SEC refuses to provide,” Coinbase CEO Brian Armstrong says.
By
Matthew Heller
| September 9, 2021
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