regulators news from FierceComplianceIT

There's a whole lot of filings pouring into the SEC (SEC news) reporting system, and the responses are starting to reflect the on-going financial crisis. The agency seems to be asking companies for... Read more...

In the compliance community, one lingering issue is the extent to which a strong culture of compliance and ethics will factor into various enforcement proceedings. It only makes sense to give... Read more...

The historic Dodd-Frank financial reform bill was notable in the audit community for an interesting omission: The final bill did not include a requirement ordering regulators to distribute financial... Read more...

How serious are regulators about cracking down on corruption abroad? We've noted that the government has stepped up its efforts to prosecute cases of the Foreign Corrupt Practices Act. Certainly, the... Read more...

Are regulators serious about cracking down on naked short selling? Fortune puts it this way: "Securities industries watchdogs have had it with naked short selling--and if the biggest securities firms... Read more...

We've grown accustomed to the angst associated with regulators leaving their jobs to seek employment with the very industry they once regulated. It's often an unseemly situation. But what about when... Read more...

The FDIC is not taking a lax view of banks' IT risk responsibilities. The idea of better accountability and lower risk encompasses the IT components. The focus seems to be less on specific mandates... Read more...

The massive insider trading ring revolving around hedge fund Galleon has focused attention once again on the technological battle to fight insider trading. The SEC and other regulators have invested... Read more...

A lot of companies are gearing up to report in XBRL. We tend to see the new format as a burden (or opportunity) unique to the United States, but as the OpenWeb Developer's Journal notes, XBRL is... Read more...

In the wake of the Albert Gonzalez scandals, firms have responded in various ways. Some, like Heartland Payments Systems and others, have redoubled their efforts on security. Others have decided that... Read more...