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Sarbanes-Oxley 20th anniversary: Time to revisit SOX programs

2022-08-12T12:00:00+01:00By

Twenty years ago, in the aftermath of the Enron and WorldCom financial reporting scandals, Congress acted and created the Sarbanes-Oxley Act of 2002. Such a milestone anniversary marks a good time for organizations to refresh, rethink, and modernize their SOX programs.

FTC seal

FTC seeks to expand authority on data breaches, commercial surveillance

2022-08-12T16:46:00+01:00By

The Federal Trade Commission is seeking comment on potential rules that would penalize companies that suffer data breaches due to lax cybersecurity protocols and punish firms that engage in abusive commercial surveillance practices.

The Home Depot

DOJ-informed compliance guidance helps Home Depot prep for potential scrutiny

2022-08-10T12:00:00+01:00By

How can a company prove its compliance bona fides to a regulator, should one ever come knocking on its door? The Home Depot has prepared for such a scenario with detailed guidance pegged to the DOJ’s “Evaluation of Corporate Compliance Programs.”

CW Surveys

Mergers

Survey: Tell us about your M&A compliance

Provided by Avalara

Take part in this 3-minute survey to help benchmark your mergers and acquisitions pain points against those of your peers. One lucky respondent will win a $200 Amazon gift card for completing the survey.

Partner Content

CUBE-Report-Compliance-2000x1333

CUBE Data Report: Overview of global enforcement trends

Provided by CUBE Global

In light of the ongoing impacts of the pandemic on the global financial industry, CUBE looks at this year’s regulatory data to analyze the global enforcement trends of 2021.

Data and Research

  • Desire for transparency launches FedEx on ESG journey

  • CW case study offers 360-degree view of ransomware attack

  • Closing the data risk gap: How technology enables data protection

  • When academic studies and hoax hotline claims go ‘off the rails’

  • CW presents: ‘Coming Clean: Volkswagen’s Dieselgate scandal and compliance monitorship’

  • Compliance Week presents: ‘A Tale of Two Storms’

Partner Content

More from Compliance Week

U.S. Bank

Senators demand answers from U.S. Bank on fake accounts scandal

2022-08-08T18:13:00+01:00By

Democratic senators are calling on U.S. Bank to answer questions before a Senate committee regarding an alleged fake accounts scandal the bank recently paid $37.5 million to settle.

Morgan Stanley

Morgan Stanley reaches $200M agreement over unauthorized electronic messages

2022-08-08T17:35:00+01:00By

Morgan Stanley has reached agreements in principle totaling $200 million with the SEC and CFTC to settle charges its employees used messaging platforms not approved by the financial services company.

PwC sign

​PwC fined $2.1M for audit failures regarding BT Group fraud disclosures

2022-08-08T15:28:00+01:00By

PwC will pay a reduced fine of 1.75 million pounds (U.S. $2.1 million) as part of sanctions against the Big Four firm for failures in its fiscal year 2017 audit at BT Group after the U.K. telecommunications company adjusted its financials to reflect a fraud scandal in Italy.

Citi

Roundup: Goldman Sachs, Citi, Robinhood disclose regulatory investigations

2022-08-05T18:02:00+01:00By

Goldman Sachs Group, Citigroup, and Robinhood Markets each issued quarterly filings disclosing regulatory investigations they are respectively facing into varied business practices.

LinkedIn Group

    Looking for a forum to interact with corporate compliance officers, internal auditors, risk officers, financial reporting executives, and other corporate governance enthusiasts? Join the Compliance Week LinkedIn group, where members network and discuss GRC news and issues. Open to compliance practitioners.