Dodd-Frank

Do Clawback Policies Accomplish Their Desired Purpose?
Tax

Do Clawback Policies Accomplish Their Desired Purpose?

They may, but new research surprisingly suggests that clawbacks may also prompt managers to drive down their companies' effective tax rates.
By David McCann | December 16, 2019
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U.S. Exempts Small Banks From Volcker Rule
Risk & Compliance

U.S. Exempts Small Banks From Volcker Rule

Regulators have adopted a final rule allowing community banks to engage in proprietary trading.
By Matthew Heller | July 10, 2019
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U.S. Frees Prudential From ‘Too Big to Fail’ Label
Risk & Compliance

U.S. Frees Prudential From ‘Too Big to Fail’ Label

The Financial Stability Oversight Council's decision means there are no longer any nonbanks subject to stricter, post-crisis oversight.
By Matthew Heller | October 17, 2018
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Fed OKs Cap on Big Banks’ Credit Exposure
Risk & Compliance

Fed OKs Cap on Big Banks’ Credit Exposure

A final rule is aimed at reducing the threat that the financial difficulties of one large bank will spread to the system as a whole.
By Matthew Heller | June 15, 2018
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Fears Over Downside to Clawbacks Are Unwarranted: Study
Risk & Compliance

Fears Over Downside to Clawbacks Are Unwarranted: Study

Contradicting prior research, a new report finds that increased performance-based compensation for CFOs actually steers them away from earnings management.
By David McCann | June 7, 2018
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The Fed Proposes Significant Volcker Rewrite
Risk & Compliance

The Fed Proposes Significant Volcker Rewrite

Proposed changes would ease the rule's strict limits on proprietary trading by banks.
By William Sprouse | May 31, 2018
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House Sets Vote on Dodd-Frank Rollback Bill
Risk & Compliance

House Sets Vote on Dodd-Frank Rollback Bill

Enactment of the bill would hand President Trump "another victory in his effort to slash rules on the private sector."
By Matthew Heller | May 16, 2018
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‘Impossible Position’ for Corporate Fraud Gatekeepers
Risk & Compliance

‘Impossible Position’ for Corporate Fraud Gatekeepers

The recent Supreme Court whistleblower ruling is a devastating blow to defenses against corporate fraud, says an architect of the SEC whistleblower program.
By Jordan A. Thomas | March 15, 2018
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How to Manage Cyber-Whistleblower Risk
Technology

How to Manage Cyber-Whistleblower Risk

Companies should pay specific attention to risks arising from the increasingly common whistleblower complaints regarding data breaches and cybersecurity.
By Brian Fleming and William Barry | March 8, 2018
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Supreme Court Whistleblower Ruling: Analysis
Risk & Compliance

Supreme Court Whistleblower Ruling: Analysis

The decision likely won't have a substantial effect on companies, as significant protections for whistleblowers remain in place.
By Robert Tuchman and Marc Rosen | February 23, 2018
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High Court Limits Scope of Whistleblower Law
Risk & Compliance

High Court Limits Scope of Whistleblower Law

The justices find the anti-retaliation provisions of Dodd-Frank apply only to employees who complain of misconduct to the SEC.
By Matthew Heller | February 21, 2018
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Fed Proposes Additional Stress Test Disclosures
Risk & Compliance

Fed Proposes Additional Stress Test Disclosures

Regulators are seeking to give banks more information about the testing process without enabling them to game the system.
By Matthew Heller | December 11, 2017
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Can Dodd-Frank Be Fixed to Bridge Competing Interests?
Risk & Compliance

Can Dodd-Frank Be Fixed to Bridge Competing Interests?

Here are some steps to begin resolving the divide between bringing regulatory relief to banks and adequately protecting consumers.
By Taylor Tipton and Jackie Prester | October 11, 2017
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How Is Regulatory Reform Likely to Proceed?
Risk & Compliance

How Is Regulatory Reform Likely to Proceed?

Proposed massive legislative change is unlikely; more moderate reforms floated by Treasury are better bets.
By Michael Lewis, George Madison, Michael Borden, and Cameron Gibbs | September 21, 2017
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Dodd-Frank Is Needed But Merits Revision
Risk & Compliance

Dodd-Frank Is Needed But Merits Revision

While preventing another financial crisis is paramount, there were a number of unintended consequences of the law.
By Tyler Harrison | September 21, 2017
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