Dodd-Frank

Who's Afraid of MIFID 2?: Fixing Wall Street’s Broken Plumbing

By Hazel Henderson
Blog

The European Union (EU) has sweeping reforms of financial markets coming into force January 3, 2018. They will affect Wall Street firms in many ways, covering all transactions of EU securities wherever traded worldwide.  Whether the firm is on the buy-side: portfolio managers, mutual funds, institutional investors, or on the sell-side: broker-dealers, investment advisors, researchers, consultants, MIFID II will affect business models, research, trading, reporting and order execution.

Discussed Changes to Dodd-Frank Will Not Affect 2017 Conflict Minerals Filing Requirement

Article

The acting chairman of the U.S. Securities and Exchange Commission (SEC) announced this week that the agency would reconsider how to enforce the conflict minerals rule contained within the Dodd-Frank Act, Dodd-Frank Section 1502.

3TG is Just the Starting Point for Supply Chain Investigation

Summary: 

Cobalt is a mineral that leads to human rights violations in the Congo, but is not one of the minerals included in the Dodd-Frank Section 1502 Conflict Minerals Rule. Cobalt is an example of why 3TG should just be a starting-off point for companies investigating their supply chains, which can help uncover potential areas of risk and instances of unethical sourcing

Article

Cobalt is a mineral that leads to human rights violations in the Congo, but is not one of the minerals included in the Dodd-Frank Section 1502 Conflict Minerals Rule. Cobalt is an example of why 3TG should just be a starting-off point for companies investigating their supply chains, which can help uncover potential areas of risk and instances of unethical sourcing

What Do the Conflict Minerals 2015 SEC Filings Show Us? Know the Insights

Article

Approximately 1,200 publicly traded companies filed Conflict Minerals Reports with the SEC this year, in accordance with Dodd-Frank Section 1502 (Conflict Minerals Rule).

Source Intelligence has analyzed data collected from the 2015 filings, and mined meaningful insights for companies to utilize for the 2016 reporting year. Key findings demonstrate differences and similarities between industries, trends from past reporting years, and new findings from 2015.

European Union Agree On Conflict Minerals Legislation

Article

On Wednesday, June 15th, The European Union (EU) agreed to outline a deal to facilitate a focus on transparency in the supply chain. This legislation concerns the sourcing of conflict minerals, not just in the Democratic Republic of the Congo, but from high-risk regions, worldwide.

"We need to step up to our responsibilities and finally break the vicious cycle of the trade in minerals and the financing of conflict," - EU Trade Commissioner Cecilia Malmstrom

One Week After the Conflict Minerals Filings, Here's What We Know

Article

Transparency is the key to complete traceability in supply chain. When transparency increases, companies have better insights into where their products are coming from and how they’ve been made. Data is the key in supplier networks that provides greater data accuracy, clarity, and insights, leading to more contextual intelligence shared across supply chains.

The Impact of Dodd-Frank 1502 on Conflict Minerals: U.S. Sustainable and Responsible Investors Respond

Newsletter

The impact of Dodd-Frank 1502 on conflict minerals: U.S. sustainable and responsible investors respond

Responsible Investors. Despite the ongoing legal challenge led by industry trade associations, the majority of the rule remains intact, and is making a difference.

Read More >>

SEC fines company, former exec for FCPA violations

Conflict Minerals Argument Over. Impossible? Over a Thousand Did It

Article

If the SEC posted a filing deadline and no one filed, Section 1502 of Dodd-Frank would have been a failure. Instead, public companies provided a resounding answer to the call for greater transparency. Now, NGO’s are reporting that over two-thirds of the mines that were run by militias four years ago are no longer under their control.

Think It’ll be Easy to get Your Suppliers to Engage on Conflict Minerals by Yourself? Think Again.

Article

Although nearly 1,300 public companies have filed with the SEC for Conflict Minerals compliance, over 95% of these companies said that they did not know the source of their 3TG (tin, tungsten, tantalum, and gold). The primary reason they filed “indeterminable” is because they could not get their suppliers to engage in the process. However, public companies will not be able to file “undeterminable” forever. And, the issue of suppliers either not knowing what to do, or not feeling compelled to do it – if they understood what to do – will remain.

Think It’ll be Easy to get Your Suppliers to Engage on Conflict Minerals by Yourself? Think Again.

Article

Although nearly 1,300 public companies have filed with the SEC for Conflict Minerals compliance, over 95% of these companies said that they did not know the source of their 3TG (tin, tungsten, tantalum, and gold). The primary reason they filed “indeterminable” is because they could not get their suppliers to engage in the process. However, public companies will not be able to file “undeterminable” forever. And, the issue of suppliers either not knowing what to do, or not feeling compelled to do it – if they understood what to do – will remain.

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