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Posts from Jill Radloff

FDIC Provides Corporate Governance Guidance to Community Banks

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The FDIC issued a special edition of Supervisory Insights, “A Community Bank Director’s Guide to Corporate Governance: 21st Century Reflections on the FDIC Pocket Guide for Directors.” This special corporate governance edition reviews the Pocket Guide and incorporates more recent guidance and technical resources to help board members effectively fulfill... Read More

Topics: Banking, Uncategorized

CFTC Makes Second Whistleblower Award

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The U.S. Commodity Futures Trading Commission, or CFTC, announced that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about violations of the Commodity Exchange Act. This is the second whistleblower award to be issued by the CFTC. The CFTC issued its first whistleblower... Read More

Topics: Employment, Uncategorized

SEC Charges Investment Adviser with Cybersecurity Violations

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The SEC recently commenced a settled enforcement action against an investment adviser, R.T. Jones Capital Equities Management, Inc., for cybersecurity matters.  Press reports indicate this is the first such case of its kind.  R.T. Jones did not admit or deny the SEC’s findings. These proceedings arose out of R.T. Jones’s... Read More

Topics: Consumer Protection, Investment Advisers, Uncategorized

SEC Seeking Comment on Possible Revisions to Audit Committee Disclosures

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The SEC has issued a concept release to seek public comment regarding audit committee reporting requirements, with a focus on the audit committee’s reporting of its responsibilities with respect to its oversight of the independent auditor. The SEC has categorized the specific audit committee disclosures about which the Commission is... Read More

Topics: Public Companies and Securities, Uncategorized

MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

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Rule G-44 of the Municipal Securities Rulemaking Board, or MSRB, became effective on April 23, 2015. That Rule establishes the supervisory and compliance obligations of municipal advisors. The MSRB has provided an educational document designed to support municipal advisors’ development of effective policies and procedures for supervision and compliance, particularly... Read More

Topics: Municipal Advisors, Uncategorized