French Caldwell

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Entries Tagged as 'Financial Regulations'


New FFIEC Guidance on Social Media Risk Management Effective Immediately

by French Caldwell  |  December 13, 2013  |  1 Comment

The final guidance from the FFIEC on social media risk management for financial institutions has been promulgated.  It is effective immediately.  As I mentioned earlier this year, regulatory guidance of this sort is not optional. I did a study recently on the public comments for my doctor in law and policy program at Northeastern University– […]

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Category: Cloud compliance GRC public policy Risk Management Social Technology     Tags: , , ,

A Really Helpful Regulatory Change Tool

by French Caldwell  |  October 26, 2012  |  Comments Off

One of the questions I get all the time is, “Where can I find what regulations apply to me?”  I talked this morning to Fred Diers who has created GRMpedia which tracks regulations and their retention and reporting requirements.   Regs tracked include, marketing, finance, research and development, EHS, contracts, leases, IP, governance, HR and others.  […]

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Category: compliance GRC public policy     Tags: , , ,

Mind the Gap on Executive Pay

by French Caldwell  |  January 11, 2010  |  1 Comment

In the heyday that preceded the crash, banks did not take the public sentiment about huge bonuses seriously, but what’s surprising is that since the crash they haven’t figured out a way to reward risk takers without risking their reputations.  When the gap between public expectations of corporate behavior, and the actions taken by corporations […]

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New Hammers for New Nails — Big U.S. Regulatory Overhaul

by French Caldwell  |  June 17, 2009  |  Comments Off

“Today, my administration is proposing a sweeping overhaul of the financial regulatory system, a transformation on a scale not seen since the reforms that followed the Great Depression,” announced President Barack Obama today from the White House. While the changes are big, they are not as sweeping as they could have been.  Political obstacles prevented […]

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