Tag:SEC
The SEC’s Whistleblower Program Proves Resilient Despite Adversity
Lauren Rushing Associate Editor Loyola University Chicago School of Law, J.D. 2018 In the span of one week, two financial services companies paid penalty fees to the Securities and Exchange Commission for intentionally undercutting the Whistleblower Program. Impeding whistleblower communication is averse to quashing misconduct in the marketplace, which is the program’s main goal. …
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SEC set to change how investors elect board members
Gilbert Carrillo Executive Editor Loyola University Chicago School of Law, J.D. 2017 The Securities and Exchange Commission (SEC) is expected to propose new rules that would make it easier for shareholders to vote on board candidates nominated by investors, versus those pushed by the company’s management. What impact could this have on compliance departments? …
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Legislation Involving Disclosure of Data Breaches
Gilbert Carrillo Executive Editor Loyola University Chicago School of Law, JD 2017 Yahoo is just the latest company to have a major cyber security data breach. What is more troubling is how this data breach occurred about 2 years ago and only just now the public is being told about the incident. Was Yahoo …
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