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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.

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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.

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  • News bulletin

    SEC Enforcement Trends: Targeting Gatekeepers, Rewarding Tipsters

    October 28, 2014

    The Securities and Exchange Commission brought a record-breaking number of enforcement actions in fiscal year 2014, including several against compliance and audit executives. That should come as no surprise: Enforcement Director Andrew Ceresney (pictured above) warned last spring that the SEC wouldn’t hesitate to pursue executives, including compliance professionals, when they fail to act appropriately to stop fraud. More SEC enforcement trends inside.

  • News bulletin

    All Eyes on Internal Controls as Year-End Close Approaches

    October 28, 2014

    Durbin

    As companies begin preparing for the year-end close, audit experts are warning them to take these final months of the year to check documentation. The Public Company Accounting Oversight Board is pressuring audit firms to scrutinize internal controls and other areas, and that scrutiny is likely to trickle down to issuers. “The big focus this year is more on internal control,” says Pat Durbin, a partner with PwC.

  • News bulletin

    How to Tell if Your Whistleblower Hotline Is Effective

    October 28, 2014

    As companies strive to keep investigations internal, rather than risk high-profile regulatory intervention, improving the hotlines they use to solicit employee tips and concerns is crucial. Using metrics and industry benchmarks can help, but measuring the effectiveness of internal whistleblower efforts may be the hardest part. Some tips and trends on hotline metrics are inside.

  • The Big Picture Blog

    Getting In-Depth on Compliance

    October 27, 2014

    In its full glory, corporate compliance is a complex subject. Compliance Week does its best to provide subscribers with timely, concise looks at news in this field to help you understand how you can build and manage a better compliance program, but let’s be honest—sometimes you need an even deeper dive. Compliance Week now provides even that deeper dive, too. Editor Matt Kelly has more on our new offering inside.

  • News bulletin

    CFPB Offers No-Action Letters With Strings Attached

    October 28, 2014

    Lampe

    Financial firms worried about an enforcement action from the Consumer Financial Protection Bureau may soon get a reprieve. The agency has proposed a no-action letter policy that would let financial firms test the regulatory waters before they roll out new financial products. The application process, however, requires much disclosure for limited protections, lawyers say. “The required product-level information is very detailed,” says Donald Lampe of law firm Morrison & Foerster.

  • News bulletin

    As Tech Firms Enter Digital Payments, Regulators Look On

    October 28, 2014

    Last month Apple plunged into the world of payment processing with its Apple Pay service that allows its mobile devices to make payments at retailers. Rivals Google, Microsoft, and Facebook have already dabbled in the market that includes Pay Pal and several others. These disruptive technologies may prompt regulators to re-evaluate how they approach oversight of the burgeoning mobile payment processing industry. More inside.

  • News bulletin

    Reducing Systems and Risks in Purchase-to-Pay

    October 28, 2014

    Most companies maintain several systems within their procurement and accounts payable functions, especially if they have grown through acquisition. But several systems can create risks, including low supplier visibility. Fewer systems can help, but it’s not a cure-all. Many companies find they need to take steps to reduce the risks of working across multiple systems. More inside.

  • Robert Herz

    Keeping Reporting Overseers on the Same Page

    October 28, 2014

    The Securities and Exchange Commission, the Financial Accounting Standards Board, and the Public Company Accounting Oversight Board have several formal and informal channels to compare notes and exchange ideas. Still, some wonder if a forum to discuss the reporting system as a whole and the long-term health of that system is needed. Inside, columnist Robert Herz looks at the push behind such a forum and one attempt to get it off the ground.