Articles | Compliance Week – Page 252

Article

Differing regulatory ethos poses challenges for cross-border financial institutions

2017-08-08T14:15:00Z

In a group Q&A, we look at how multinational companies should view compliance amid attitudinal differences regarding compliance and enforcement.

Article

Keeping customer service on the right track

2017-08-08T12:00:00Z

A poor customer interaction can result in a PR nightmare, especially on social media. How can compliance help ensure that staff is properly trained to avoid a reputational fiasco?

Article

SFO announces Rio Tinto corruption investigation

2017-08-08T12:00:00Z

Rio Tinto faces large fines if it is found to have engaged in corrupt activity over its massive Simandou iron-mining project in Guinea. Heads have already rolled over it.

Article

How electronic trading strengthens execution in the muni market

2017-08-08T11:45:00Z

As electronic trading becomes more commonplace, especially in the municipal bonds market, there are plenty of compliance benefits to be had.

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Firms gird for fast-approaching NYDFS cyber-security deadlines

2017-08-08T11:30:00Z

New York’s new cyber-security rules are already creating compliance and liability concerns. They may also give rise to a fractured playing field of demands in other states.

Article

Will AI disrupt compliance and internal audit?

2017-08-08T11:15:00Z

At a recent Compliance Week conference, experts discussed implementation and expectation for incorporating artificial intelligence into compliance programs.

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Striving toward a better ethics and compliance training program

2017-08-08T09:00:00Z

NAVEX’s 2017 report on ethics and compliance training is out, and the results are required reading for compliance officers eager to know how well their programs compare to their peers.

Article

Companies clearly favor modified adoption of revenue rule

2017-08-01T15:15:00Z

Investors would like to see full historic numbers under the new revenue rules, but companies clearly are planning to give them less. How will they bridge the gap?

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Biometrics, cash, and the end of money laundering as we know it?

2017-08-01T14:45:00Z

As the technology to facilitate cashless transactions becomes more widespread, it can play an important role in know-your-customer and anti-money laundering efforts.

Article

Keys to a better whistleblower program

2017-08-01T14:45:00Z

Organisations with robust speak-up programs can address compliance problems pre-emptively, but building such programs can be tricky. Here are 12 tips how.

Article

GDPR compliance is lagging

2017-08-01T14:15:00Z

A survey says many firms are nowhere near ready to comply with the new EU data privacy standard. CCOs should consider people, processes, technology, and data when building a GDPR solution.

Article

Is the European Union out to get Google?

2017-08-01T11:00:00Z

While it might seem as if the European Union has it in for Google, a search of its open cases will reveal that it has its sights set on more than just the search engine firm.

Article

Rhetoric begins to shift to regulatory easing

2017-08-01T10:45:00Z

While members of the Trump Administration wave off persistent critics, rule changes are starting to take root, notably for the Volcker rule.

Article

SEC’s consolidated audit trail at risk again, this time by funding

2017-08-01T10:15:00Z

Developed as a database to monitor markets and prevent flash crashes, the SEC’s consolidated audit trail has a big, new roadblock.

Article

CPAs will get new marching orders on spotting illegal acts

2017-07-25T15:00:00Z

A professional accounting committee has opened a can of worms with a proposal regarding how accountants should respond when they stumble upon illegal activity.

Article

Brexit relies on Great Repeal Bill to work, but outcome is still uncertain

2017-07-25T13:45:00Z

The British government is in a race against time to stave off legislative chaos once Brexit becomes official, but so far, the stopgap measures seem less than perfect.

Article

How a pair of SEC rules might survive deregulation

2017-07-25T13:00:00Z

There has been plenty of tough talk of deregulation in the Trump administration, but a few rules appear too valuable to repeal or roll back.

Article

Rule overload vs. a rhetorical rabbit hole

2017-07-24T09:15:00Z

Downsizing the regulatory regime can be a worthy goal that helps build the economy without harming the public. But be wary when politics guide the process.

Article

At 15, Sarbanes-Oxley Act inspires reflection, renewed attacks

2017-07-24T08:45:00Z

The Sarbanes-Oxley Act, legislation that ushered in an era of refocused corporate compliance, is in the spotlight again. Has it worked? Or will it end up on the regulatory chopping block?

Article

The compliance side of the war on drugs

2017-07-21T13:45:00Z

In a precedent-setting case, drugmaker Mallinckrodt Pharmaceuticals has agreed to a $35 million settlement with the U.S. federal government for failing to monitor its sales channels for suspicious orders.