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Published every Thursday, Compliance Week Europe offers a condensed summary of risk, audit, and compliance news either originating in Europe, or of special interest to European compliance professionals. This newsletter will follow developments by the European Commission, as well as those of national governments across the region, or any U.S.-based news that might have consequence across the Atlantic. Frequency: weekly; Thursday a.m.

A fresh edition of Compliance Week delivered via e-mail and online every Tuesday morning, relentlessly focused on the disclosure, reporting and compliance requirements of our 25,000+ paying subscribers.

Published every Friday, Compliance Weekend was launched at the behest of subscribers, and offers a quick Plain English review of the week's key developments. We hope you enjoy this supplement to Compliance Week's Tuesday edition.

e-Book: AML Compliance: 2015 Update
You can encounter some very shady characters while conducting business globally—and some very aggressive regulators determined to stamp out the money laundering those characters do. In this e-Book, produced by Compliance Week in cooperation with KPMG, we look at how companies manage AML compliance in today’s climate and how to integrate that newly heightened risk into your existing compliance program. Click here to download.

  • Accounting & Auditing Update Blog

    Globally, Audit Inspectors Find Big Problems

    March 4, 2015

    U.S. audit regulators are not the only ones alarmed by high rates of busted audits. Around the globe, audit regulators who are members of the International Forum of Independent Audit Regulators compared notes and found nearly half of the audits they inspected in 2014 contained deficiencies that suggest the audit firm didn’t have enough evidence to issue a sound opinion.

  • News Article

    Kaiser Permanente’s Approach to Case Management

    March 3, 2015

    Marita Janiga Guest Columnist IconEffective case management is crucial to a compliance program, but developing a process—flexible enough to juggle different types of issues, systematic enough to resolve cases in a timely manner—is the tricky part. This week in a guest column, Marita Janiga, director of the National Special Investigations Unit and the Compliance Hotline team at Kaiser Permanente, shares how Kaiser works to triage cases and track issues for better reporting and analysis.

  • News Article

    Lessons From HSBC’s Size, Compliance Struggles

    March 3, 2015

    For nearly three years, HSBC Holdings, a grande dame of international banking, has come under fire for a litany of regulatory problems and compliance failures: money laundering, sanctions, violations, and abetting tax evasion to name just a few. How does a good bank fall into such dire straits? The problem, experts say, is the perilous intersection of rapid growth and faltering internal controls.

  • Stephen Davis & Jon Lukomnik

    Gasp! An End to Proxy Access Wars?

    March 3, 2015

    A funny thing happened on the way to a 2015 annual meeting season expected to be polarized by the return of shareholder access to the proxy: a possible path to consensus emerged, led by General Electric. This week, columnists Stephen Davis and Jon Lukomnik trace how regulators, activists, and companies reached this state of affairs, and whether proxy season will be a more civilized affair in 2015.

  • News Article

    Gap Analysis: C-Suite, Boards Struggling to Define Risks

    March 3, 2015

    Despite consensus that risk is a big deal—something companies should manage aggressively—recent academic research suggests that boardroom leaders focus on vastly different risks than compliance, audit, and risk executives do. “I wonder if there is a lack of understanding of the views of risk across the management team,” says Mark Beasley, a professor at North Carolina State. “The presumption may be that we are more on the same page than we really are.”

  • News Article

    Insurers Feel Fresh Heat on Cyber-Security Practices

    March 3, 2015

    New York plan to bolster cyber-security oversight in the insurance sector, including regular, targeted assessments of cyber-security as part of its exam process. “Recent cyber-security breaches should serve as a stern wake-up call for insurers and other financial institutions to strengthen their cyber-defenses,” said New York Department of Financial Services Superintendent Benjamin Lawsky. Consequences are likely to be felt well beyond the Empire State. Details inside.

  • News Article

    Canada Gets Serious on Enforcement

    March 3, 2015

    Canadian securities regulators for the first time are proposing a whistleblower rewards program, modeled after the SEC’s program created by the Dodd-Frank Act. The proposed initiative is the latest move by Canadian authorities toward a U.S.-style enforcement regime—and in some instances an even harsher one. “Canadian enforcement is going to continue at an increased pace,” says Mark Morrison, with law firm Blakes. Details inside.

  • News Article

    SEC to Scrutinize Internal Controls, Audit Committees

    March 3, 2015

    Every February SEC officials convene at the Practising Law Institute’s “SEC Speaks” conference, where commissioners can break news and staff can detail priorities for the New Year. The focus this year, from rulemaking to enforcement, was on financial reporting internal controls, and ways to improve audit committees. And, of course, FCPA enforcement remains in the spotlight. More inside.