BlackRock fined by FSA for failing to protect client deposits
BlackRock, the world’s largest asset manager, has been fined by the Financial Services Authority (FSA) for failing to adequately...
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Regulation Archive
Retaliation against employees who report corporate misconduct on the rise
The frequency of retaliation against employees who report alleged misconduct in their corporation has risen in the last two years...
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US watchdog detects ‘failures’ in 22 percent of KPMG audits examined in latest annual inspection
The Public Company Accounting Oversight Board (PCAOB), which oversees auditing regulations in the US, says it found a series of...
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EU promotes gender balance on company boards
Last year, Viviane Reding, the EU’s commissioner for justice and fundamental rights, launched an initiative aimed at countering...
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Former IR chief of Carter’s children’s clothing sued by SEC for $170,000
The SEC is suing the former Carter’s vice president of IR over allegations that he improperly profited from dozens of illegal...
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SEC approves rules requiring disclosure of conflict minerals
The SEC has passed controversial new rules obliging thousands of public companies to disclose any use of so-called ‘conflict...
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SEC awards informant $50,000 in first payment under whistleblower program
The SEC has awarded $50,000 to an informant who helped stop a multi-million-dollar fraud in the first payout under the...
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What's with all the commotion at the SEC?
All eyes are on the SEC this morning as the regulator holds a public meeting to vote on whether to adopt rules surrounding...
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Treasury, Bank of England rift threatens governance
When it comes to fending off worldwide financial scandals, the world needs its financial market regulators to co-operate with each...
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Adjusting to the OSC's new goals
Canadian companies should start preparing to deal with the new and improved Ontario Securities Commission (OSC).The regulator...
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