Regulation Archives - CFO

SEC Finalizes Rules on Chinese Issuers

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

FTC Has ‘Concerns’ About Nvidia Deal to Buy Arm

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

PCAOB Revamped With Four New Members

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

Will the SEC Finally Approve a Tougher Clawback Rule?

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

Will the SEC Finally Approve a Tougher Clawback Rule?

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

IMF Warns of Crypto Risks to Financial Stability

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

Ex-Goldman Compliance Analyst Accused of Insider Trading

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

SEC Gives Bond Dealers 3-Month Reprieve

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

Ad Giant WPP Fined $19M for FCPA Violations

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

U.S. Slaps Crypto Exchange With Sanctions

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

Coinbase Shelves ‘Lend’ Amid SEC Pushback

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

FTC Releases Study of Big-Tech Mergers

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

Regulator Hits Wells Fargo With $250M Fine

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

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

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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