Tag Archives: SEC

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 →

Demystifying social media for broker-dealers: 6 updates to FINRA guidance

Keeping up with the pace of change in social media is difficult for everyone. For broker-dealers, remaining in compliance with regulatory guidance is particularly difficult. Customers are constantly demanding more and more channels for online communication. Conforming to regulatory record-keeping … 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 →

Trump Administration and financial institutions: 3 things we know

Now that we are a couple of months into the Trump presidency it is important to take stock and determine how risk management at financial institutions will be impacted by the likely changes that appear on the horizon. General economic … Continue reading →

Disruptive change and animal spirits stoke D&O risk

After escalating D&O risk in 2016, buyers will be looking for a reprieve in 2017. They may be disappointed. 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 →

The CEO pay ratio: Time for a first look?

Will it be a snore to which no one pays attention or a bombshell that shakes the foundations of corporate America? Either way, the CEO pay ratio seems certain to cause at least some discomfort in the board rooms of … Continue reading →

A Perfect D&O Storm

Economic headwinds, individual accountability and disruptive change, like forces of nature, are converging in a way that could change the game for directors & officers (D&O) risk. Continue reading →

Marking the Close – Old Fraud by New Means

trader computer

The US Security and Exchange Commission (SEC) recently fined a high-frequency trading firm a cool $1 million to settle charges that the firm had used their sophisticated algorithmic trading system to “mark the close” or “bang the close.” “Marking the … Continue reading →

Has the SEC Made Orange the New Black for Corporate Officers?

prison jumpsuit

If you are the chief compliance officer today of a hedge fund, the title of this blog may only bring thoughts of prison jump suits replacing classic business dress, as opposed to Netflix’s new hit series.  Unfortunately for CCO’s, many … Continue reading →