Welcome to this week’s edition of the GRC Times Weekly News Digest, where we bring you the latest insights and regulatory developments shaping the governance, risk, and compliance landscape.
SEC (Securities and Exchange Commission)
The SEC is considering easing regulatory requirements for public companies to attract high-value startups. It has also adopted Rule 10c-1a, designed to enhance transparency in securities lending and improve market integrity.
FINRA (Financial Industry Regulatory Authority)
FINRA continues its strict enforcement of compliance standards, taking action against multiple firms, including Merrill Lynch, for supervision and Form U4 amendment violations.
OCC (Office of the Comptroller of the Currency)
The OCC has started 2025 with a series of enforcement actions, reinforcing its focus on accountability and sound governance across the banking and financial sector.
CFPB (Consumer Financial Protection Bureau)
The CFPB’s proposed rule is pushing financial institutions to rethink consumer engagement strategies. The bureau is also reviewing thresholds for larger participant rules in markets like auto lending.
CFTC (Commodity Futures Trading Commission)
The CFTC imposed a $3.25 million penalty on Olam Group for violations related to cotton sales reporting, signaling stronger oversight on commodities reporting standards.
FTC & DOJ (Federal Trade Commission & Department of Justice)
These agencies have released new Antitrust Guidelines aimed at protecting workers from anti-competitive practices and reinforcing fair competition in labor and business markets.
DOJ (Department of Justice)
The DOJ expanded its corporate compliance program guidance, emphasizing the importance of preventing misconduct and regulating personal device usage for work-related communications.
FATF (Financial Action Task Force)
The FATF’s “black list” remains unchanged, with Iran and North Korea still subject to the most stringent countermeasures due to ongoing non-compliance.
FCA (Financial Conduct Authority – UK)
The FCA announced it will prioritize proposals that promote diversity and inclusion within financial institutions, recognizing their link to better governance and risk management outcomes.
NIST (National Institute of Standards and Technology)
NIST is updating its IR 8286 Series, offering valuable guidance for aligning cybersecurity efforts with broader enterprise risk management frameworks.
Thank you for staying informed with the GRC Times Weekly News Digest.
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