Regulatory Implications of Bank Securitization and Executive Compensation
Regulators should provide more stringent monitoring of bank securitization and CEO compensation.
Regulators Quietly Prepare to Open Chinese Capital Markets
Cross-border trading between Shanghai and Hong Kong promises economic opportunity and regulatory challenges.
More Whistleblowers Help Regulators Detect Misconduct
Financial regulators in the U.S. and U.K. receive a growing number of alerts from whistleblowers.
Banking Regulation Based on Hypotheticals?
Legal scholar argues that bank stress tests should be abandoned or made more robust.
Gift Cards and the Potential for Money Laundering
The growth of gift cards raises new and unexpected challenges for regulators and law enforcement.
Changing Risk Culture is Hard
Culture and attitudes toward risk are built into the foundations of systemically important banks.
Former Commissioner Speaks About SEC’s Role in Rapidly Changing Market
Troy A. Paredes offers his views on recent regulatory developments at a Penn seminar.
The Battle over Transatlantic Financial Regulation
Improved diplomatic processes would help strengthen international economic cooperation.
Rarely Used Rule May Expand Small Companies’ Access to Capital
SEC proposal would exempt small businesses from federal and state security registration.
“Big Four” Decision Shines Light on Regulatory Conflicts
International accounting firms remain stuck between Chinese and U.S. law.
Could Financial Services Save the Postal Service?
Controversial new report argues that postal banking could help the underserved while boosting revenues.
The Shift to Prosecuting Companies Instead of Individuals
Federal prosecutors have made a subtle but important shift over the last 30 years to prosecuting companies and institutions.