Compliancex

U.S. bankers and insurers are trying to use trade deals, which can trump existing legislation, to weaken parts of the Dodd-Frank Act designed to prevent a repeat of the 2008 financial crisis.

While the companies say they are seeking agreements that preserve strong regulations and encourage economic growth, their effort is drawing fire from groups who argue that Wall Street wants to make the trade negotiations a new front in its three-year campaign to stop or alter the law.

Senator Elizabeth Warren, a Massachusetts Democrat who sits on the Banking Committee, said … Read More »

Hundreds of times over five years, an employee of Institutional Shareholder Services Inc. would get an email asking questions like this: “how many & how voted.”

Those emails, disclosed in an order by the Securities and Exchange … Read More »

The Securities and Exchange Commission on Wednesday charged the city of South Miami, Fla., with fraud for allegedly misleading investors about the tax-exempt status of a municipal bond offering.

The city submitted an offer to the SEC to Read More »

The U.S. Treasury Department said Thursday that it placed sanctions on 20 more individuals and entities for their involvement in Iran’s nuclear proliferation networks and attempts to evade restrictive measures.

Fourteen of those targeted Thursday are part of Iran’s … Read More »

I am often critical and suspicious of small-scale surveys conducted by companies that sell related products, but when they are specialized, I perk up and give them a read.

In this case, I perused the third annual Electronic Communications Compliance Survey conducted by compliance and … Read More »