Finra

The week in GRC: Investors challenge SEC on proxy adviser guidance, and FINRA releases exam findings

Oct 18, 2019

– CNN reported that Boeing’s board of directors voted on October 11 to remove CEO Dennis Muilenburg’s role as chair. The board said...Read more

Shareholders

The week in GRC: We Company postpones IPO, and investors urge governments to tackle climate change

Sep 20, 2019

Ben Maiden

The week in GRC: We Company postpones IPO, and investors urge governments to tackle climate change

– Reuters reported that London Stock Exchange (LSE) shareholder Royal London Asset Management (RLAM) said it agreed with the board’s...Read more

The boardroom

The week in GRC: Vanguard steps up board diversity push, and BlackRock increases opposition to CEO overboarding

Aug 30, 2019

Ben Maiden

The week in GRC: Vanguard steps up board diversity push, and BlackRock increases opposition to CEO overboarding

– The Guardian reported that a group of more than 30 US corporate leaders – including the heads of outdoor clothing brand Patagonia,...Read more

Enforcement

Citi unit fined over employee screening allegations

Aug 08, 2019

Ben Maiden

Citi unit fined over employee screening allegations

Citigroup Global Markets will pay a $1.25 million fine for allegedly failing to conduct timely or adequate background checks on...Read more

The boardroom

The week in GRC: Nissan plans majority-independent board, and Toshiba to add foreign directors

May 17, 2019

Ben Maiden

The week in GRC: Nissan plans majority-independent board, and Toshiba to add foreign directors

– The Wall Street Journal reported that Toshiba said it would put international investors on its board, including one with ties to a...Read more

Shareholders

The week in GRC: PG&E faces proxy fight, and more companies split chair and CEO roles

Jan 25, 2019

Ben Maiden

The week in GRC: PG&E faces proxy fight, and more companies split chair and CEO roles

– The Washington Post reported that Google has been fined almost $57 million by French regulators, which said the company violated the...Read more

The boardroom

The week in GRC: Caterpillar recombines CEO and chair roles, and shareholders back Dell’s return to public markets

Dec 14, 2018

Ben Maiden

The week in GRC: Caterpillar recombines CEO and chair roles, and shareholders back Dell’s return to public markets

– The Wall Street Journal reported that Carlos Ghosn was formally charged with understating his compensation in Nissan Motor Co’s...Read more

Technology & social media

The week in GRC: Companies expect greater IT spending, and SEC steps into proxy adviser debate

Sep 14, 2018

Ben Maiden

The week in GRC: Companies expect greater IT spending, and SEC steps into proxy adviser debate

– The Financial Industry Regulatory Authority ( Finra ) issued a white paper outlining recent regulatory technology (regtech)...Read more

Enforcement

The week in GRC: Wells Fargo to pay $1 billion to settle probes, and Cuomo pressures banks over NRA ties

Apr 20, 2018

Ben Maiden

The week in GRC: Wells Fargo to pay $1 billion to settle probes, and Cuomo pressures banks over NRA ties

– The Financial Times reported that BlackRock founder and CEO Larry Fink made $28 million last year, up by nearly 10 percent from 2016...Read more

Compliance

The week in GRC: SEC issues 2018 exam priorities, and Wynn Resorts’ board faces pressure

Feb 09, 2018

Ben Maiden

The week in GRC: SEC issues 2018 exam priorities, and Wynn Resorts’ board faces pressure

– The Wall Street Journal reported that the Federal Reserve’s unprecedented move to curb growth at Wells Fargo sent a message that...Read more

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