Articles | Compliance Week – Page 250

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GDPR and the elevated role of compliance

2017-09-19T16:00:00Z

The hefty compliance requirements of GDPR are going to require companies to figure out how to separate personal data from the ability to link that data to a specific person. Easier said than done, writes Jaclyn Jaeger.

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New ERM framework links risk to strategy, performance

2017-09-19T13:30:00Z

Courtesy of COSO, companies have a new risk framework to consider that has the potential to drive a new risk mindset deeper into the organization.

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The voice of reason: Q&A with Hui Chen

2017-09-19T13:00:00Z

Renowned ethics and compliance expert Hui Chen discusses true compliance training, what integrity really means, and how compliance can earn its seat at the table at the top of an organization.

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LexisNexis Risk Solutions’ Chrisol Correia on AML, the convergence of risk intelligence

2017-09-19T10:30:00Z

The leader of LexisNexis Risk Solutions' global anti-money laundering solutions strategy discusses trends in AML, risk management technology, and the evolution of FinTech compliance.

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The future of FinTech may involve unified regulation

2017-09-19T10:00:00Z

Many FinTech firms concede that regulation may provide a needed imprint of safety and security. A new plan calls for a singular regulatory point of contact.

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U.K. corporate governance reforms

2017-09-12T14:15:00Z

Neil Hodge explores the government’s corporate governance reform proposals relating to executive pay; strengthening the employee, customer, and supplier voice; and large, privately held businesses.

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Beyond the investigation: Monitoring for retaliation

2017-09-12T12:15:00Z

An organization cannot have a speak-up culture if its workers fear retaliation for coming forward. Learn to spot the telltale signs of retaliatory culture before it poisons the well.

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U.K. officials talk enforcement, cooperation, more

2017-09-12T11:15:00Z

At the 35th Cambridge Symposium on Economic Crime, British government officials provided valuable insight on regulatory priorities and how to stay right under the eyes of the law.

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The classic post-scandal question to auditors: What happened in the black box?

2017-09-12T11:00:00Z

When investors decry the black box of public company auditing, asking for more visibility, they’re referring to cases like KPMG’s audit work at Wells Fargo.

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CEO pay went down in 2016, but why?

2017-09-12T10:45:00Z

Average CEO pay in the FTSE 100 went down 17 percent last year, but was it because of poor performance or the rising tide of public demands for lower executive compensation overall?

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SEC’s controversial pay ratio rule still alive and problematic

2017-09-12T10:00:00Z

The SEC’s rule requiring companies to disclose the ratio between CEO and average worker pay persists despite much pushback from business and government alike.

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‘Lone wolf’ terror attacks pose a challenge for financial detectives

2017-09-12T09:30:00Z

Following 9/11, laws and compliance rules were leveraged to “follow the money” and disrupt terror plots. But can those efforts intercept “lone wolf” attacks?

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Court deals setback to prosecutors in cross-border cases

2017-09-12T09:15:00Z

In an age of increasing cross-border investigations, especially concerning FCPA violations, the use of compelled testimony, even when legally obtained, can derail a U.S. prosecution.

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Everybody owns compliance

2017-09-06T15:00:00Z

You don’t have to be an explosives technician or a Presidential bodyguard to be a great compliance, risk, and ethics officer, but it sure does help. Just ask Darin Goodwiler of the CFA Institute.

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FOR: Neither admit nor deny

2017-09-06T12:15:00Z

Allowing firms to enter into consent judgments without having to admit material facts or liability prevents excessive disruption of the regulatory/enforcement framework. Read more from Paul Weiss litigators Brad Karp and Susanna Buergel.

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AGAINST: Neither admit nor deny

2017-09-06T12:00:00Z

Allowing defendants to settle cases without admitting or denying guilt deprives the public of transparency and accountability. The Honorable Judge Jed Rakoff for the United States District Court explores below.

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FASB’s new hedging standard opens door to new strategies

2017-09-06T11:30:00Z

Companies have yet another new accounting standard from the Financial Accounting Standards Board to adopt, but this time they can’t wait to get started.

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Corporate philanthropy at its finest

2017-09-06T10:15:00Z

In the wake of Hurricane Harvey, many of the companies we might normally cover concerning compliance and risk issues made headlines for far better reasons: their generosity.

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MiFID II is on the way and U.S. firms should pay close attention

2017-09-06T10:15:00Z

As the slate of EU financial regulations known as MiFID II goes into effect in January, U.S. firms may be rudely awakened by new transparency demands, real-time reporting requirements, and “research unbundling” rules.

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Federal Reserve rethinks oversight by bank boards

2017-09-06T10:00:00Z

A Federal Reserve proposal seeks to streamline the expectations placed upon bank directors. Will it help ease their burden, or create a confusing new regime?