Articles | Compliance Week – Page 234
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ArticlePot shops and banks are in the weeds when it comes to compliance
Clashes between state and federal laws are creating regulatory and compliance challenges as pot legalization becomes the norm.
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ArticleTop 10 risks that will keep executives on their toes in 2019
A recent survey conducted by global consulting firm Protiviti and North Carolina State University’s Enterprise Risk Management Initiative reveals the top 10 risks facing board of directors and executive management teams in 2019.
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ArticleCounterpoint: Deregulation aids the majority
Stockton University Professor of Finance Dr. Michael Busler says regulating industry can be very costly to consumers.
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ArticlePoint: Regulation is a stabilizing force
Santa Clara University behavioral finance professor Hersh Shefrin says regulation is a remedy for a host of imperfections that interfere with well-functioning markets.
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ArticleWhy continuous monitoring is crucial for TPRM
Three cautionary tales demonstrate the potential trouble a company can find itself in when third parties are not actively monitored.
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ArticleBest practices in preventing a third-party data breach
Examining how “high-performing” organizations handle their third parties lights the path for companies looking to strengthen the weakest links in their data chains.
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ArticleQ&A: Five questions with a TPRM specialist
Abercrombie & Fitch Senior Compliance Counsel Rob Seibel, a specialist when it comes to the implementation of a third-party risk management program, discusses trends and challenges around managing risks with third parties.
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CECL queues up as next big accounting change in 2019
The long-awaited new accounting for credit losses, better known as CECL, is moving forward in 2019 unless someone takes definitive action to delay or alter it.
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ArticleThe risks of outsourcing compliance
Using external firms and consultants can bolster the effectiveness of certain compliance functions. Abdicating too much responsibility, however, could draw the ire of regulators.
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ArticleHow to break up with a third party the right way
Not all business relationships have a happy-ever-after ending, but there are things both parties can do to mitigate the risks of a third-party breakup.
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ArticleSpecial report: Third-party risk management
As firms increasingly turn to external partners, the risks they acquire can become an internal problem.
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ArticleAsk Amii mailbag: How a bad economy might impact compliance
In the “Ask Amii” monthly mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn checks in on how compliance would fare if the economy goes south, lessons from Facebook’s tough year, and more.
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ArticleAsk Amii mailbag
In response to our subscribers’ desire for practical advice on the leadership skills and strategic thinking required to lead with impact, Compliance Week is publishing a quarterly mailbag with executive coach and former CCO Amii Barnard-Bahn.
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ArticleWeary from accounting change? Brace for more in 2019
Change has become the new normal in public company accounting offices, and 2019 promises to deliver even more of the same.
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ArticleWhen the customer’s not right
The Petrobras, Stryker, and Polycom enforcement actions serve as a lesson to compliance officers on how to guard against customer bribery schemes.
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ArticleDisclosure reform an idea worth pursuing
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
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ArticleUnfinished business, lingering questions guide regulators into New Year
In 2019, regulators look to build on initiatives that began last year while tackling increased political tensions.
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OFAC to lift sanctions on three Russian companies
The U.S. Department of the Treasury’s Office of Foreign Assets Control notified Congress on Dec. 19 of its intention to lift sanctions imposed on three Russian companies.
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ArticleHow compliance officers can shape enforcement in 2019
Compliance officers and in-house counsel will increasingly be expected to play a leading role in the Justice Department’s efforts to combat fraud in all areas in 2019.
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SEC enforcement priorities for 2019
The Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.