NASDAQ calls on SEC to regulate proxy advisory firms
NASDAQ OMX Group has asked the SEC to require greater transparency and disclosure from proxy advisers, saying the firms exert...
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Regulation Archive
Political disclosures: reaching the tipping point
Activist shareholders have been clamoring for years for greater disclosure on corporate political spending, and the 2013 proxy...
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US companies question pay ratio rule
Most companies listed on US stock exchanges question the relevance of impending rules that will govern CEO pay ratios, with only...
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Citigroup fined $30 mn for report leak
Citigroup is set to pay a $30 mn fine after one of its Taiwan unit analysts improperly shared non-public information with major...
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Whale trading loss: JPMorgan forced to admit wrongdoing
JPMorgan must pay a total of $920 mn in fines and admit to wrongdoing for hiding trading losses in 2012.The investment bank...
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US public companies to disclose CEO/worker pay ratios
Public companies in the US must start disclosing the difference in pay levels between their chief executive officer and average...
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SEC action against IR boss not a ‘gotcha’ ruling
In light of the recent SEC action against the former IRO of energy company First Solar, other IR professionals may be left...
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SEC charges IRO for tips to 20 investors and analysts
The SEC has charged the former IRO of an Arizona-based solar energy company with violating fair disclosure rules and fined him $50...
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Newcrest disclosure review finds no evidence of misconduct
Australia’s leading gold producer, Newcrest Mining, has been cleared of any wrongdoing relating to market disclosure guidelines...
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Italy targets high-frequency trading
Italy has cracked down on the controversial practice of high-frequency trading (HFT) this week with a tax on all trades lasting...
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