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Human Capital & Careers
Salary Transparency’s Impact On the Future of Labor
With salary ranges being required in more areas, how can executives use these new laws to better their hiring practices?
By
Adam Zaki
| February 3, 2023
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Dodd–Frank Wall Street Reform and Consumer Protection Act
Risk & Compliance
Considering the Intent of Financial Regulations
Regulations protect the safety of the banking system, ensure adherence with consumer compliance law, and eliminate illicit activity.
By
Jose Marina
| October 19, 2016
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Risk & Compliance
Community Banks Still Struggling with Compliance Costs
While Bank of America might be able to absorb additional compliance costs, the additional rounds of paperwork and auditing could crush a community bank.
By
Ash Patel
| October 19, 2016
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Corporate Finance
Municipal Adviser Charged With Bidding Fraud
The case is the SEC’s first enforcement action under the municipal adviser anti-fraud provisions of the Dodd-Frank Act.
By
Matthew Heller
| June 14, 2016
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Risk
FDIC Adopts Final Rule on Collateral for Swaps
"Establishing margin requirements for non-cleared swaps is one of the most important reforms of the Dodd-Frank Act," said the FDIC chair.
By
Matthew Heller
| October 22, 2015
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Risk Management
SEC Strips Out Credit Ratings for Money Funds
A low credit rating on a short-term security will no longer prohibit a money market fund from investing in it.
By
Katie Kuehner-Hebert
| September 17, 2015
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Risk & Compliance
Court Extends Corporate Whistleblower Protections
An appellate panel decides in favor of a former finance chief who alleged he was fired for reporting accounting fraud.
By
Matthew Heller
| September 11, 2015
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The Economy
Senate Democrats Press SEC on Political Spending Disclosures
Companies should be required to disclose how they use corporate resources for political activities, say the lawmakers.
By
Katie Kuehner-Hebert
| September 1, 2015
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Risk & Compliance
Bankruptcy Bill Would Replace Bank Bailouts
The Taxpayer Protection and Responsible Resolution Act creates a Chapter 14 for banks and replaces Dodd-Frank's orderly liquidation authority.
By
Katie Kuehner-Hebert
| July 23, 2015
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Regulation
Dodd-Frank’s Next Act: Executive Pay
The SEC’s proposed disclosure rules have drawn criticism from proponents and opponents alike.
By
Ed Zwirn
| July 15, 2015
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Risk
Banks and ‘Speed Traders’ Among Culprits Last October 15
However, financial regulators failed to find a single, root cause for the unusually volatile day on the U.S. Treasury market last year.
By
Katie Kuehner-Hebert
| July 14, 2015
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Risk & Compliance
Big Banks Detail Latest ‘Living Will’ Plans
On the fourth try, U.S. systemically important financial institutions aimed to be more realistic about how they would approach a bankruptcy.
By
Matthew Heller
| July 7, 2015
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Fraud
Online Exchange Fined for Illegal Swap Sales
Two entrepreneurs ran an unregistered securities exchange that sold derivatives linked to the liquidity events and value of private companies.
By
Matthew Heller
| June 17, 2015
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Risk & Compliance
Sen. Elizabeth Warren Blasts SEC Chair’s Tenure
In a letter, Warren tells Mary Jo White that her stint as chair of the SEC has been 'extremely disappointing.'
By
Katie Kuehner-Hebert
| June 2, 2015
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IPOs
Mixed Signals
Across industry sectors, CFO optimism is tempered by an uncertain business environment.
By
David W. Owens
| May 15, 2015
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Risk & Compliance
Hillary Clinton to Tap Former Wall Street Regulator as CFO
The regulator, former CFTC Commissioner Gary Gensler, was a key player in the fight to impose tougher rules on Wall Street.
By
Katie Kuehner-Hebert
| April 17, 2015
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