Tag Archives: Dodd-Frank

The Do’s and Don’ts of CEO Pay Ratio Communications

You’re probably well on your way to calculating your CEO pay ratio, but have you begun to think about the difficult task of communicating it to internal and external audiences? Or, is your plan to just address it through your … Continue reading →

Where is the SEC headed on CEO pay ratio and other compensation-related issues?

As companies continue to hope the CEO pay ratio disclosure effective date for 2018 proxies will be delayed by the Securities and Exchange Commission (SEC), here are the latest clues we have on the agency’s direction. First, the SEC recently … Continue reading →

What financial institutions need to know about the Financial CHOICE Act

Dodd-Frank is one step closer to getting repealed — but there’s still a ways to go. Financial regulatory reform is making its way through Washington. The House has passed the Financial CHOICE Act and the bill will now makes its … Continue reading →

Turning whistleblowing to your advantage

The Dodd-Frank whistleblower program is picking up steam – and that doesn’t have to be a bad thing. According to SEC.gov, since its inception in 2011, the Securities and Exchange Commission (SEC) has awarded $85 million to 32 tipsters. A … Continue reading →

SEC as Beat Cop, Enforcing “Our Federal Securities Laws, Big and Small…”

Cop on beat

We recently wrote about some new enforcement principals and strategies of the U.S. Securities and Exchange Commission. But it may have escaped notice that the SEC is apparently not going to focus on potentially significant violations in terms of size … Continue reading →

The Government is Closed – What That Means for the SEC

The impact of the government shutdown on investigations and litigation involving corporate defendants and their executives will be particularly hard felt in certain areas. Continue reading →

5 Financial News Stories You May Have Missed: Ben Fed Up

5 Financial News Stories

Here are news stories from the week that were easy to miss, but may have some lasting impact. Continue reading →

The SEC’s 2nd Whistleblower Bounty Comes from a Surprising Source

Reward

Perhaps concerned that 15% of zero is still zero, the U.S. Securities and Exchange Commission (SEC) recently announced that the second payout under its whistleblower reward program would actually come from recoveries first made by the Department of Justice in … Continue reading →

Who You Whistling At? Internal Whistleblowing Also Protected—Just not Under Dodd-Frank

Home Bloggers Categories About Us Contact Us Who You Whistling At? Internal Whistleblowing Also Protected—Just not Under Dodd-Frank

The United States District Court for the Southern District of New York recently took a surprising view on what would seem like a simple matter: An employee alleges wrongful dismissal, in violation of the whistleblower protection provisions of the Dodd-Frank … Continue reading →

5 Financial News Stories You May Have Missed: TBTF, ISDA, AP and More

5 Financial News Stories

Here are news stories from the week that were easy to miss, but may have some lasting impact. Continue reading →