disqualification waiver

Regulator Blasts SEC Waivers to Five Banks
Risk & Compliance

Regulator Blasts SEC Waivers to Five Banks

SEC commissioner says there were "compelling reasons" to reject the waiver requests of banks convicted of rate-rigging.
By Matthew Heller | May 26, 2015
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Top Democrat Wants SEC to Crack Down on ‘Bad Actors’
Risk & Compliance

Top Democrat Wants SEC to Crack Down on ‘Bad Actors’

The SEC has been granting disqualification waivers “automatically — and disproportionately for large financial firms,” says Rep. Maxine Waters.
By Matthew Heller | March 24, 2015
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