Compliance | OTC Capital Partners
Wednesday, February 8, 2012

SEC wrestling with "conflict minerals" disclosure

Posted by Reuters: Business News on October 16, 2011

WASHINGTON (Reuters) – Securities regulators are struggling to craft a rule that sheds light on companies that use certain African “conflict minerals” but avoids a compliance nightmare that hurts manufacturers.



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Bill Introduced to Exempt More Small Public Companies from Audits of Internal Controls, Compliance Week Says

Posted by The PIPEs Report on September 28, 2011

House Republicans have introduced legislation that would exempt more small public companies from pro…
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Japan watchdog checking brokers on compliance: source

Posted by Reuters: Business News on November 1, 2010

TOKYO (Reuters) – Japan’s securities industry regulator is conducting interviews with brokerages in connection with suspicious trading ahead of new share offers, a source familiar with the matter…



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Fed says reverse mortgage loans pose risks

Posted by Reuters: Business News on August 16, 2010

WASHINGTON (Reuters) – The Federal Reserve and other top regulators said on Monday reverse mortgages pose “compliance and reputation risks” for lenders, and offered guidance to financial firms on how to avoid such pitfalls.



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BofA bolsters compliance after $10.7 billion error

Posted by Reuters: Business News on July 11, 2010

CHARLOTTE, North Carolina (Reuters) – Bank of America Corp is beefing up its internal accounting controls after it incorrectly classified as much as $10.7 billion in short-term lending and repurchase deals for mortgage securities as sales, according to a letter filed on Friday with U.S. securities regulators.



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OPEC keeps oil supply unchanged

Posted by Reuters: Business News on December 22, 2009

LUANDA (Reuters) – OPEC oil producers agreed on Tuesday to keep their supply curbs unchanged but may face an uphill battle to improve compliance with those restrictions if they want to drain bulging global fuel inventories.


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