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This practice note focuses on recent market trends covering the
Securities and Exchange Commission s (SEC s) pay ratio
rulemaking, which was mandated by the Dodd-Frank Wall Street Reform
and Consumer Protection Act (111 P.L. 203, 124 Stat. 1376), and
provides recent pay ratio disclosure examples. The SEC originally
proposed pay ratio disclosure in 2013, and the proposal generated a
great deal of interest and debate. The final rule was adopted in
2015 and required pay ratio disclosure by companies with respect to
their first full fiscal year that began on or after January 1,
The Trade
The changing face of derivatives reporting Chris Childs, managing director, head of repository and derivatives services at DTCC, and CEO and president of DTCC Deriv/SERV, tells The TRADE about the industry’s need for a new approach to derivatives reporting.
Published In
DTCC
Chris Childs, managing director, head of repository and derivatives services at DTCC, and CEO and president of DTCC Deriv/SERV
Among the forces that have shaped the global financial industry over the last decade – including relentless cost-cutting pressures and rapid technological advances – arguably one of the most consequential has been the proliferation and continual updating of regulatory mandates. In particular, reporting mandates for derivatives transactions resulting from the 2008 financial crisis have presented unique challenges for firms due to their complexity and jurisdictional discrepancies.
SteelEye Raises Additional Capital As It Eyes Expansion Into North America Date
08/04/2021
Expansion will support U.S. firms facing increased regulatory pressures and meet heightened demand for cloud-based compliance and regulatory oversight technology.
COVID-19 crisis has been a major driver behind the move, with the pandemic inundating compliance teams with investigations and creating an urgent need to explore new monitoring measures for regulated employees while working from home.
$17 million raised in 2020 to support the company’s growth.
SteelEye, the UK-based compliance technology and data analytics firm, today announces its plans to bolster its footprint by expanding into North America.
SteelEye, which has seen rapid growth in Europe since launching in 2017, delivers a comprehensive SaaS-based regulatory technology (regtech) platform that allows banks, brokers, and asset managers to simplify their compliance processes across various EU, UK and now U.S., market re
[author: Vera Cherepanova, Studio Etica]
On January 1, 2021, the Conflict Minerals Regulation (EU Regulation 2017/821) came into full force across the EU. This new law aims to ensure that importers of certain materials originating from conflict-affected and high-risk areas source these materials responsibly by laying down supply chain due diligence obligations.
With many jurisdictions actively seeking to implement environmental, social and governance (ESG) legislation, the supply chain risks associated with conflict minerals mining and trade cover a broad spectrum. Money laundering and corruption, child and forced labor, human trafficking, smuggling, and organized crime, as well as environmental damage, are all problems associated with minerals derived from politically unstable areas.