Dodd-Frank Wall Street Reform Archives - CFO

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

Considering the Intent of Financial Regulations

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

SEC Awards $600K In Whistleblower Retaliation Case

Risk & Compliance

SEC Awards $600K In Whistleblower Retaliation Case

A hedge fund agreed to settle charges that it retaliated against a trader who reported securities law violations.

By Matthew Heller | April 29, 2015

Bank Stress Tests Too Predictable?

Risk Management

Bank Stress Tests Too Predictable?

“The process of maturation that makes stress test results more predictable may also make the stress tests less effective," say two researchers.

By Katie Kuehner-Hebert | March 5, 2015

Senate to Revisit ‘Too Big to Fail’

Risk & Compliance

Senate to Revisit ‘Too Big to Fail’

A Senate committee will review a GAO study expected to show that large U.S. banks are still perceived as having implicit government backing.

By Iris Dorbian | July 28, 2014