Articles | Compliance Week – Page 247

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How compliance can demonstrate return on investment

2017-11-21T10:45:00Z

CCOs shared how they demonstrate to senior leaders and board members the compliance program’s return on investment during the recent virtual compliance conference.

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Using metrics to gauge corporate culture

2017-11-21T10:30:00Z

At a recent ethics and compliance virtual conference, ethics officers shared their approaches for gathering and using metrics to gauge corporate culture.

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SEC, UPS, and the MLB

2017-11-15T13:00:00Z

Title: SEC, UPS, and the MLBThis week, the SEC comes under fire for whistleblower complaints, UPS joins the blockchain bandwagon, and two individuals connected to the MLB are convicted of smuggling.

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New guidance for best practices on human rights

2017-11-14T12:00:00Z

A new guidance is giving compliance officers the tool they need to benchmark their own organization’s efforts to protect, respect, and remedy human rights.

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Employee amnesty programs: Strategic move or act of desperation?

2017-11-14T12:00:00Z

Employee amnesty programs are a successful investigative tactic to get to the bottom of ethics and compliance lapses. So why don’t more compliance programs offer them?

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Financial services firms buckle down on data security

2017-11-14T11:45:00Z

There is no single solution to prevent the many flavors of cyber-crime. Private enterprise and the government, however, should do a better job of working together.

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Avoiding the compliance complications of GDPR

2017-11-14T11:45:00Z

The EU GDPR transcends borders, and any company with business ties to the EU should be aware this rule is not only set in stone, but has teeth that can cut into bottom lines.

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Amid uncertainty, SEC entrance into Fiduciary rule saga takes shape

2017-11-14T11:45:00Z

While the Labor Department’s Fiduciary rule for investment advice remains uncertain amid lawsuits and Congressional attacks, the SEC prepares to issue its own version.

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Compliance practices for Iran and Russia sanctions

2017-11-14T11:30:00Z

Looming deadlines and decision points concerning Iran and Russia may portend changes in the implementation of existing sanctions. The challenge for sanctions compliance professionals is how to manage these risks while still engaging in legitimate trade.

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Early revenue adopters report little change to numbers

2017-11-14T08:00:00Z

Early adopters of the new revenue standard are big companies with little change to their reported revenue numbers, but more substantial change to disclosures.

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South Africa Gupta saga: A long list of compliance failures

2017-11-07T15:00:00Z

Corruption allegations in South Africa have entangled some major international companies, highlighting due diligence, risk management, compliance, and audit control failures.

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Enforcement against opioid drug makers and distributors escalates

2017-11-07T14:45:00Z

Several actions taken by the Department of Justice in recent weeks make it clear that prosecutors have their sights set squarely on pharmaceutical manufacturers and distributors for their role in the opioid epidemic.

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From ‘regulatory spaghetti’ to ‘regulator ready’

2017-11-07T14:15:00Z

For financial services firms, employing centralized data processing is a capability that many firms simply cannot afford to live without.

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Auditors will start listing, describing critical audit matters in 2019

2017-11-07T13:15:00Z

Auditors have been dispatched by the PCAOB and the SEC to begin listing and describing in audit reports where they had the most difficulty in each audit.

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How financial regulation will evolve under Fed Chairman Powell

2017-11-07T10:00:00Z

If confirmed by the Senate, President Trump’s decision to promote Fed Governor Jerome Powell to chairman will further his deregulatory agenda, albeit in a kinder, gentler way.

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Sexual harassment must become a compliance issue

2017-11-07T10:00:00Z

No longer can sexual harassment claims be shuffled off to the HR department. The accusations need to be viewed in terms of materiality and reputation risk.

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The evolution of XBRL

2017-10-31T15:15:00Z

XBRL has been the way forward for standardizing the financial data used by companies, regulators, and investors alike. But to understand its future, you first must learn its history.

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Managing compliance in a small FinTech company

2017-10-31T15:00:00Z

Managing compliance at a small company where life moves fast and risk is the stimulant of choice isn’t for everyone, but here is how you can make it work for you.

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Elements of a best-in-class TPRM program

2017-10-31T13:00:00Z

Prudent ethics and compliance officers will want to check out a new third-party risk management benchmark report from NAVEX Global to gauge how their programs compare against their peers.

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Case study: How Aramark reduced its SOX compliance costs

2017-10-31T12:45:00Z

Food-service giant Aramark shares in candid detail its growing pains toward SOX compliance maturity, lessons learned, and how it reduced its costs along the way.