Articles | Compliance Week – Page 209
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ArticleNon-banks still have plenty of work ahead to adopt CECL
Efforts to adopt CECL are generally underway in the banking sector, but companies outside financial services may still have plenty to do.
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Fenergo, Refinitiv partner on client onboarding
Fenergo, a supplier of client lifecycle management (CLM) software solutions, has partnered with financial data provider Refinitiv to enable customers to more efficiently identify risk.
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FTI Consulting, Relativity partner on compliance monitoring
FTI Consulting’s Technology segment has joined the Relativity Trace partner program and will offer compliance monitoring services by leveraging the Trace application.
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informed360, Red Flag Reporting announce partnership
Ethics and compliance management software company informed360 has partnered with Red Flag Reporting, a provider of hotline and case management solutions, to combine services.
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ArticleEuropean Commission fines five banks €1B over foreign exchange cartel
In two separate settlements, the European Commission fined five banking giants for colluding in the trade of significant sums of foreign currency.
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ArticleSEC approves ‘long-term’ stock exchange
The SEC has approved a new national securities exchange committed to long-term investing.
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ArticleThe compliance side of Argentina’s ‘notebook’ scandal
Given the heightened risks associated with Argentina’s “notebook” scandal, compliance officers might want to enhance their due diligence efforts in the country.
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ArticleOCIE’s Driscoll on importance of CCOs
Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.
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ArticleCalifornia groups sue CFPB for shirking Dodd-Frank data collections
Two advocacy groups are suing the Trump administration and CFPB for failing to disclose data on lending to women-owned, minority-owned, and small businesses.
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Advance Auto Parts names chief accounting officer
Advance Auto Parts has appointed Andrew Page as controller and chief accounting officer.
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Booking Holdings appoints chief accounting officer and controller
Booking Holdings, a provider of online travel services, has appointed Sue D’Emic as chief accounting officer and controller.
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LogistiCare appoints chief compliance officer
The Providence Service Corporation and LogistiCare, a non-emergency medical transportation broker, has appointed Julie Correll as chief compliance officer.
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HarbourVest Partners appoints chief compliance officer
HarbourVest Partners, a global private markets asset manager, has appointed William Royer as a managing director. He also will become chief compliance officer in early June.
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Baker Hughes names new chief compliance officer
Oil field services company Baker Hughes has appointed Kara Gordon as chief compliance officer and deputy general counsel.
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ArticleHow to determine when enhanced due diligence is warranted
It can cost time and money and could even drown a deal. So when do the challenges and costs associated with this step outweigh the risks of not doing it?
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ArticlePoll shows room for improvement on training third parties
Results from the Compliance Week and Refinitiv survey revealed some surprising facts about companies’ third-party training; based on those results, the following article offers suggestions for how to enhance the process.
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ArticleIdentifying high-risk third parties a nuanced exercise
Determining which business partners to flag for enhanced due diligence all depends on the quality, and sources, of your data.
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ArticleDark Web grows as an investigative tool
A telling detail uncovered in the 2019 Survey on Anti-Bribery & Corruption was that about 6 percent of respondents said they extend their data searches into the “Dark Web.”
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ArticleAnti-bribery and anti-corruption survey
The 2019 Survey on Anti-Bribery & Corruption explores everything from the monitoring of third parties to the evaluation of training programs.
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ArticleU.K. plans Brexit vote in June
A look at possible consequences of the MP vote on Prime Minister Theresa May’s Brexit deal scheduled for early June.