Regulation

Biden Mandates Vaccines for Large Companies
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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Coinbase Clashing With SEC Over Lending Platform
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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Capital One CEO Fined for Antitrust Violations
Risk & Compliance

Capital One CEO Fined for Antitrust Violations

The FTC says Richard Fairbank failed to comply with requirements of the Hart-Scott-Rodino Act when he acquired Capital One shares in 2018.
By Matthew Heller | September 2, 2021
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Progressives Urge Biden to Replace Fed Chief
Risk & Compliance

Progressives Urge Biden to Replace Fed Chief

A group including Rep. Alexandria Ocasio-Cortez says the Fed needs to be focused on "eliminating climate risk and advancing racial and economic justice."
By Matthew Heller | September 1, 2021
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Brokerages Fined Over Cybersecurity Failures
Risk & Compliance

Brokerages Fined Over Cybersecurity Failures

The SEC says inadequate security at three firms resulted in the information of customers being compromised through email account break-ins.
By Matthew Heller | August 30, 2021
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Feds Investigating Peloton Safety Disclosures
Risk & Compliance

Feds Investigating Peloton Safety Disclosures

The company says the SEC and other agencies are investigating its reporting of injuries associated with its Tread Plus treadmill.
By Matthew Heller | August 30, 2021
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Healthcare Services Group Fined Over Accounting
Risk & Compliance

Healthcare Services Group Fined Over Accounting

CFO John Shea allegedly failed to record loss contingencies from legal liabilities, enabling HCSG to report inflated earnings and consistent growth.
By Matthew Heller | August 24, 2021
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Materiality Question Dogs SEC’s ESG Disclosure Project
Supply Chain

Materiality Question Dogs SEC’s ESG Disclosure Project

Will the SEC adhere to the concept of materiality when formulating new climate risk disclosure rules?
By Vincent Ryan | August 17, 2021
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Pearson to Pay $1M Fine for Misleading Investors About Cyber Breach
Technology

Pearson to Pay $1M Fine for Misleading Investors About Cyber Breach

The 2018 cyber intrusion involved the theft of millions of student records, including birth dates and email addresses.
By Lauren Muskett | August 16, 2021
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BitMEX Fined $100M in Latest Crypto Crackdown
Risk & Compliance

BitMEX Fined $100M in Latest Crypto Crackdown

U.S. regulators alleged the exchange traded digital assets without verifying customer identities and implementing an anti-money laundering program.
By Matthew Heller | August 11, 2021
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DeFi Platform Fined $13M Over Crypto Offerings
Risk & Compliance

DeFi Platform Fined $13M Over Crypto Offerings

The SEC targets decentralized finance in alleging the founders of DeFi Money Market illegally sold more than $30 million in securities.
By Matthew Heller | August 9, 2021
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Fed Announces Capital Buffers for Big Banks
Risk

Fed Announces Capital Buffers for Big Banks

Based on the latest stress test results, Goldman Sachs is required to have the largest buffer against losses, followed by Morgan Stanley.
By Matthew Heller | August 6, 2021
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Gig Companies Push Mass. Ballot Initiative
Risk & Compliance

Gig Companies Push Mass. Ballot Initiative

The measure, modeled on California's Prop 22, "could make Massachusetts the epicenter for an expensive fight over the legal rights of gig workers."
By Matthew Heller | August 5, 2021
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New SEC Chief Aims to Tame Crypto ‘Wild West’
Risk & Compliance

New SEC Chief Aims to Tame Crypto ‘Wild West’

SEC Chair Gary Gensler says the industry is "rife with fraud" and if Congress doesn't act, "I worry a lot of people will be hurt."
By Matthew Heller | August 4, 2021
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SEC to Tighten Disclosure Rules for Chinese Firms
Risk & Compliance

SEC to Tighten Disclosure Rules for Chinese Firms

“The disclosures of U.S.-listed Chinese companies have not met the threshold of disclosure for other companies headquartered in the U.S."
By Matthew Heller | July 30, 2021
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