SEC

SEC Adopts CEO Pay Ratio Disclosure Rule

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Special Meeting Proposals

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A Registration Framework for the Derivatives Market

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Clarity in Commission Orders

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Proxy Access Proposals

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AML Transaction Monitoring: Five Steps to Getting it Right

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If you think your anti-money laundering transaction monitoring software isn’t working correctly, what should you do? a) blame your vendor and replace the software b) blame your analysts and tell them to work harder c) review your data feeds and inputs d) throw your hands up and think you can’t do anything e) doubt your […]

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Finadium: Decoding the US Regulatory Agenda on Securities Financing, Collateral and Leverage

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In this report, Finadium reviews the next phases of US financial regulation in securities finance, collateral and leverage as identified by regulators and market participants. The result is a synopsis for financial market professionals looking to understand how the upcoming wave of regulatory decision-making will affect their businesses. We also provide insight into the drivers of new regulation and how those drivers are already changing as market realities unfold.

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Recent SEC Compliance Fines: What to Watch Out For

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Four recent enforcement actions by the US Securities and Exchange Commission each highlight a different area of concern by the regulatory agency and each sends a loud and clear message in hefty fines and professional punishment. We think they offer valuable lessons to readers of FinOps Report on how to steer clear of legal landmines. Conflict […]

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Transfer Agents: Preventing Fraud a Delicate Balancing Act

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The work of stock transfer agents may require a lot of detail management, as well as complex interactions with issuers, shareholders and various intermediaries, but the field isn’t likely to be associated with investor fraud. That is, until now. Two commissioners at the US Securities and Exchange Commission are urging the agency to take a harder look […]

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AML Compliance: Big Job Market, Big Hurdles

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For those attracted to a career of hunting down criminals, law enforcement isn’t the only choice. Finance has always been both a juicy target and a obvious tool for white-collar criminals so Wall Street’s focus on anti-money laundering compliance has been years in the making, but it wasn’t until after the 2008 to 2009 financial crisis that regulators intensified […]

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