Articles | Compliance Week – Page 188
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ArticleEY analysis: Audit committees increasing their disclosures to shareholders
Audit committees continue to increase the amount of disclosures they are providing to shareholders across a wide variety of categories, according to a recent analysis conducted by EY.
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American Riviera Bank names chief compliance and risk officer
American Riviera Bank has named Laurel Sykes as executive vice president, chief compliance and risk officer.
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Pangea Money Transfer appoints chief compliance officer
Pangea Money Transfer, a mobile-centric money-transfer platform, announced it has appointed Alex Levine as general counsel and chief compliance officer.
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James Daly retiring from SEC
James Daly, Division of Corporation Finance Associate Director, will retire at the end of September after more than 38 years of service with the SEC.
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Fishy business: StarKist to pay $100M for tuna price fixing
StarKist must pay a criminal fine of $100 million, the statutory maximum, for its role in a conspiracy to fix prices for canned tuna sold in the United States.
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Spotify chief accounting officer resigns
Spotify Technology, a Swedish media-services provider, disclosed in a filing with the SEC that Luca Baratta will resign from his position as chief accounting officer.
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Uber, Lyft among companies trying to stymie California employment bill
As legislation that would classify many freelance workers as employees instead of contractors nears passage in California, a few companies that would be most impacted are trying to preserve the gig economy.
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Ex-KPMG leader atop 'chain of corruption' gets a year and a day in jail
A former KPMG leader was sentenced to one year and one day in federal prison and three years of supervised release for his role in a scheme to subvert the regulatory inspection process.
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Merrill Lynch to pay $300K for failing to ‘promptly’ produce audit trail data
Merrill Lynch must pay a $300,000 civil monetary penalty for failing to promptly produce to the CFTC certain required records and, separately, failing to supervise its employees and agents.
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ArticlePCAOB sanctions Marcum over auditor independence issues
The PCAOB has settled disciplinary actions with audit firm Marcum, an affiliated firm, and its former auditor independence leader over independence violations.
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Vestager keeps competition role in new Commission
Margrethe Vestager is staying put as Europe’s leader in the fight against anti-competitive practices, with a continued focus on Big Tech.
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Assent Compliance to expand to Amsterdam, Malaysia
Assent Compliance announced it is continuing its worldwide expansion with new regional hubs in Amsterdam, Netherlands, and Penang, Malaysia.
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WolfPAC, Maple Street partner on vendor management
WolfPAC Integrated Risk Management and Maple Street announced a partnership designed to provide clients an enhanced, full-service vendor management system.
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Compliance.ai to join WesPay
Compliance.ai announced it is joining WesPay’s 1,000 financial industry members.
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Deloitte, Workiva partner on financial reporting
Deloitte has announced an alliance with Workiva designed to improve financial and managerial reporting.
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States sue SEC over Reg BI
Seven states and the District of Columbia have filed a lawsuit against the SEC in an effort to block the regulator’s recently approved Regulation Best Interest rule package.
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SEC’s Clayton calls out dearth of global assistance in battling corruption
Is the SEC tired of being a global cop? In a speech Monday, SEC Chair Jay Clayton rallied against a “continuing lack of global commitment” to combatting offshore corruption.
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Kaseya launches dedicated compliance business unit
Kaseya, a provider of IT infrastructure management, announced a $10 million investment in its compliance business unit.
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U.K. Parliament closes amid Brexit uncertainty
Boris Johnson’s plans to split from Europe blew up in his face, resulting in one of the biggest false-starts any U.K. Prime Minister has endured. Not only is Brexit likely to be delayed, but Johnson and his government are now legally bound to seek a deal—or else.
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Amazon's Bezos among 51 CEOs calling for national data privacy law
CEOs from 51 different companies, including Amazon, Walmart, and Salesforce, have sent a letter to congressional leaders urging the passing of a comprehensive consumer data privacy law.