Risk & Compliance

Regulation

SEC Pulls Plug on Telegram Initial Coin Offering

“The SEC isn’t playing around. It's time these [ICO] companies recognize this.”

Matthew Heller
October 14, 2019
Regulation

Fed OKs Rollbacks of Post-Crisis Banking Rules

The Board of Governors voted 4-1 in favor of the changes, with the dissenter saying they would weaken core safeguards.
Regulation

CFTC Chairman Says Cryptocurrency Ether is a Commodity

Ether futures will begin trading in U.S. markets in the near future.
Leadership

Should the Chairman and CEO Roles Be Held Separately?

The percentage of companies where one person holds both posts has long been declining, but the topic remains controversial.
Legal

New York Sues Student Loan Servicer

The state says one of the largest federal student loan servicers is mishandling debt forgiveness for public service workers.
Compensation

Clorox Links Executive Pay to Sustainability

Compensation awards for Clorox's CEO, CFO, and other executives will be tied to meeting environmental, social and governance goals.
Regulation

Block.one Fined $24M Over Initial Coin Offering

The blockchain startup is the latest company to be sanctioned by the SEC for failing to provide a registration statement for a digital asset offering.
Legal

U.S. Supreme Court Denies Amazon Bid to Block Worker Suit

Warehouse employees say they should be paid for time spent in security screenings.
Legal

Law Allowing College Players to Profit From Their Image Has Big Implications

California Gov. Gavin Newsom has signed legislation letting college athletes in the state negotiate contracts for the use of their names and images.
Regulation

Warren Slams SEC Oversight of Rating Firms

“There are strong indications that rating agencies are continuing to prop up risky financial products," the senator told SEC Chair Jay Clayton.
Fraud

Flurry of SEC Cases Disclosed

With its fiscal year-end looming, the SEC disclosed charges and settlements against seven different organizations in two days.
Regulation

Mylan Settles Charges With SEC

Regulators said the pharmaceutical company failed to make disclosures around the DOJ’s investigation of its EpiPen.
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