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Podcast: Andrea Bonime-Blanc and Ryan McManus on building responsible AI governance that lasts
How can boards build effective risk and governance structures, future-proof oversight, and create a responsible culture around rapidly evolving AI technology?
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FINTRAC hits five real estate brokerages with C$368k in AML penalties
Five firms face administrative monetary penalties after exams found gaps in AML programs and suspicious transaction reporting.
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Fed unveils “sharpened” supervisory operating principles
The memo shifts exam priorities, MRAs, and horizontal reviews toward material financial risks.
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Podcast: Marc Steinberg on corporate officer and director liability
Are corporate officers and directors really “fiduciaries” in the way corporate law doctrine would have us believe?
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SEC steps back from proxy reviews as pressure mounts on activist voting
Regulator cites resource and timing considerations as reason for change.
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SEC charges six purported advisers over false Form ADV filings, books-and-records issues
The SEC said the entities claimed specific office locations, assets under management, and private funds that could not be verified.
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SEC’s off-channel comms crackdown eases, compliance professionals say
A Citywire report says that RIAs are reporting softer exams on texts and messaging apps, but compliance teams are not letting their guards down.
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Proxy advisers ISS and Glass Lewis targeted by FTC antitrust probe
Critics have long expressed concerns regarding the two firms’ influence on corporate governance.