Compliance

U.S. Internet Giants To Feds: Back Off On Surveillance

In an open letter to President Barack Obama and Congress, Apple, Microsoft, Google and five other of the world’s largest […]

U.S. Banks In “Regulatory Spiral”

The roll-out of Dodd Frank and aggressive legal action by Federal regulators is alarming bank industry executives. “We are in […]

Battle Over: Big Energy Companies Getting Ready For Carbon Regs

Major energy companies have acknowledged that global warming regulation that puts a price on carbon is coming, and they are […]

House Beats A Strategic Retreat in “The War On Christmas”

The Commission on Congressional Mailing Standards has reversed its stance, and members of the House of Representatives can now wish […]

Maybe Proxy Advisory Firms Have Too Much Clout

A major debate is opened, as the SEC convenes a roundtable. Is there something amiss when two entities – Institutional […]

European Commission Slaps U.S. Privacy Standards

The European Commission has made it clear it finds U.S. privacy standards inadequate and wants a revision of the mechanism […]

EU Regulators Stiffen, Fine Banks $2.3b For Rate Rigging

European Union regulators imposed a total of 1.7 billion Euros, or $2.3 billion, on eight financial institutions, including two U.S. […]

Supreme Court Refuses To Hear On-Line Sales Tax Case

Bricks-and-mortar retailers got some good news on Cyber-Monday when the Supreme Court announced it would not hear a challenge to […]

Coming Soon: Dodd-Frank Recording Requirements

By Dec. 21 swap dealers and major swap participants will need to record cell phone conversations related to trades under […]

Political Contribution Disclosure Gets A Pass From The SEC

Public interest groups are livid over the SEC’s failure to put a political contribution disclosure requirement on its rulemaking agenda […]

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