Articles | Compliance Week – Page 215
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ArticleFCA publishes its Business Plan for 2019/20
The U.K. Financial Conduct Authority on 17 April published its Business Plan for 2019/20, outlining its key priorities for the coming year.
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ArticleSurvey: Companies just starting to prepare for CCPA
A new study from Compliance Week and TrustArc says companies are not yet prepared for the coming California Consumer Privacy Act, the Golden State’s version of the EU’s GDPR.
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ArticleAICPA revenue recognition guide hits audit, sector issues
Still looking for some help on revenue recognition? The AICPA has published an audit and accounting guide meant to work through industry-specific issues.
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ArticleThe Boston RegTech Meetup: Dedicated to removing friction to innovation
At the upcoming CW annual conference, an expert panel will examine ways to bring regulators, firms, and innovators together to discuss how to get new ideas to the table faster and how to implement them at the same pace.
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Fugue enhances cloud compliance product
Fugue, a provider of autonomous cloud infrastructure security and compliance, announced new enhancements to its product designed to enable continuous compliance scanning and reporting across an organization’s cloud footprint.
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Former VW boss charged over emissions scandal in Germany
German prosecutors have filed aggravated fraud charges against Martin Winterkorn, the former chief executive of Volkswagen, and four other unnamed managers for their involvement in the emissions-cheating scandal.
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ArticleQ4 control disclosures inched upward, FERF says
Nearly one-fourth of filings with the SEC in the fourth quarter contained admissions of material weaknesses in internal control over financial reporting.
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ArticleNext steps for senior compliance professionals and how to get there
You’ve climbed far up the corporate ladder, but what are your next steps? Join this expert panel at Compliance Week 2019 to discuss how to choose the right trajectory toward evolution in the corporate world.
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Trump takes another swing at controlling independent agencies
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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Uber discloses its bribery and corruption risk
In its first-ever filing with the SEC, ride-sharing company Uber discussed its bribery and corruption risks, including an ongoing investigation by the Department of Justice into potential violations of the Foreign Corrupt Practices Act.
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GE to pay $1.5B for misrepresentations concerning subprime loans
General Electric will pay a civil penalty of $1.5 billion to resolve claims under the Financial Institutions Reform, Recovery, and Enforcement Act involving subprime residential mortgage loans originated by WMC Mortgage, a GE subsidiary.
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ArticleWe’ll show you how to demystify data analytics for compliance
At this Compliance Week 2019 session, HUB professionals discuss ways to improve the data analytics component of the compliance function with relevant training on data execution and risk detection.
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ArticleFASB preps proposal to simplify income tax accounting
FASB is preparing a proposal to amend accounting standards in a way that is intended to ease the accounting for income taxes.
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ArticleBrexit extended until 31 October
EU leaders continue to dawdle on Brexit. The U.K.’s exit from the European Union has once again been delayed—this time until Oct. 31.
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Encore Capital Group appoints chief risk officer
Encore Capital Group, an international specialty finance company, has appointed Doris Hektor as managing vice president and chief risk officer.
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Ingersoll Rand names general counsel
Ingersoll Rand has appointed Evan Turtz as senior vice president and general counsel, effective immediately. He will serve as an officer of the company and be responsible for strategic leadership and oversight of Ingersoll Rand’s legal and compliance affairs worldwide.
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Jarvis Global Investments names chief compliance officer
Jarvis Global Investments has named Katelyn Jarvis as chief compliance officer and director of retirement services.
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R.J. O'Brien & Associates appoints chief compliance officer
R.J. O’Brien & Associates, an independent futures brokerage and clearing firm, has promoted Kathleen Clapper to senior director and chief compliance officer.
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SEC charges former SeaWorld executive with insider trading
The SEC has charged the former general counsel of amusement park company SeaWorld Entertainment for his role in an insider-trading scheme, and it’s not the first time that a SeaWorld executive has been in trouble for misleading investors.
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ArticleFed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.