Tags » Dodd-Frank Act

Employers Beware; General Assertions of Alleged Fraud May be Enough to Trigger SOX Whistleblower Protection

Under Section 806 of the Sarbanes-Oxley Act (SOX), it is illegal for publicly traded companies to retaliate against employees who report suspected fraud. 18 U.S.C. § 1514A. 473 more words


Five Years of Dodd-Frank: An Internal Audit Perspective

By Shaheen Dil, Managing Director
Model Risk and Capital Management

Earlier this summer, on July 21, the financial world marked the fifth anniversary of the passage into law of the… 707 more words

Internal Audit

The Volcker Rule paves way for next financial crisis

In July 2010 United States Congress voted for Wall Street Reform and Consumer Protection Act, which according to some economists decreased danger financial risk. The Dodd-Frank regulations are working but some economists argue that US economy to achieve this goal paid too high price. 671 more words

Dodd-Frank Act

Central bank independence before and after the Great Recession

Hereafter we report on the findings of a research carried out by Donato Masciandaro (Professor of Economics and Chair in Economics of Financial Regulation at Bocconi University) 1,329 more words


A U.S. Court Jeopardizes Corporate Transparency Rules, in the Name of Free Speech

Transparency is often seen as an important anticorruption tool, perhaps nowhere more than in extractive industries. Notably, an international movement has called on extractive industry firms to… 1,780 more words


Are Some Banks Too Small to Comply?

The Commissioner of Florida’s Office of Financial Regulation thinks Dodd Frank’s one-size-fits-all approach to regulation is hurting banks and consumers.  Check out Commissioner Breakspear’s recent article on that very topic at the American Banker’s website by clicking here.

Financial Institutions