Tag: Dodd-Frank

Transaction reporting is a necessary requirement for countless regulations, and yet Novatus Advisory co-founder Matthew Ranson believes many firms are getting this process wrong, and they might not even be aware of it.

ESG proxy voting is rapidly emerging as a tool that shareholders are using to find a balance between profit maximisation and social impact. With environmental, social and governance (ESG) concerns in the limelight, the traditional boardroom proxy vote, once a mere formality, is now a powerful instrument for change.

Firms facing transaction reporting obligations often find themselves navigating multiple regulatory regimes such as MiFID II, EMIR, Dodd Frank, and ASIC. Despite awareness of their duties, many aren't doing enough to meet the stringent regulatory standards.

The US top market regulator has awarded $900,000 to a whistleblower who identified securities law violations overseas.

Northern Ireland-based Liopa, which offers automated lip reading technology, has been awarded a £40m package from the UK government.

Video communication has become a particularly useful tool for businesses these days. However, using it comes attached with several laws and regulations to follow.

Building a communication monitoring platform which leveraged AI and machine learning from the ground up and covered the full spectrum of voice, video, chat, and text based communication was essential in the creation of Theta Lake.

The Securities and Exchange Commission (SEC) has adopted new recordkeeping and reporting rules for security-based swap dealers and major-based swap participants which increase the need of tracking.