Articles | Compliance Week – Page 254
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New leadership, similar enforcement agenda
Amid plenty of public turmoil in the Trump administration’s early days, the enforcement agendas of both the DoJ and the SEC remain fundamentally unchanged.
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Uncontrolled text messaging exposes your company to massive risk
Texting isn’t just dangerous while driving; unless you archive your company’s SMS/text message traffic, you risk substantial legal, reputational, and regulatory risk.
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Lessons from employees who break the rules
Why do employees break the rules? These tips can lead to policies and procedures that help curb rule breaking.
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Brazil’s largest corruption investigation in history hits new heights … and lows
As Brazilian investigators look into massive corruption between public officials and one of the country’s biggest companies, scandal-weary Brazilians wonder when this will all end.
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Delayed but not dead, tax reform waits behind healthcare
Taking a back seat to healthcare reform, tax reform is still on the agenda, with experts predicting Congressional action in late 2017 or early 2018.
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How Barclays gave itself a case of Cadmium poisoning
Barclays is in hot water with the SFO over a conspiracy (code-named Cadmium) to engage in illegal lending with Qatar at the height of the financial crisis.
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Supreme Court may resolve divide over whistleblower protections
What does a corporate whistleblower need to do to secure anti-retaliation protections? The Supreme Court will tackle the longstanding argument.
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ArticleTrump’s regulatory report card thus far: ‘Incomplete’
There is a lot of talk about regulatory retreats under the Trump Administration. Thus far, however, it has taken a more cautious approach than has been expected.
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Former RBS CEO, ‘Fred the Shred’ avoids trial, for the moment
A long-standing shareholder lawsuit against the Royal Bank of Scotland calls out a long-standing history of extremely poor governance at the troubled financial institution.
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Ireland takes baby steps toward protecting whistleblowers
No country has a perfect record when it comes to protecting whistleblowers, but Ireland is trying to take steps in the right direction, even if progress remains uneven.
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Proposed rules would shore up auditing of estimates
Proposed new rules for auditors could lead to more documentation and evidence requests around accounting estimates—or not—depending on how auditors have already adapted.
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Choosing a sound path forward for cyber-security
When it comes to cyber-security risk management, let’s pursue a flexible, principles-based approach—and avoid a road to nowhere paved with layers of compliance requirements.
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Getting ready for GDPR
Steve Durbin, managing director of the Information Security Forum, talks about how GDPR is essentially a new global standard for data management and how complying with it is actually a blessing in disguise.
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Right place at the right time? Or insider information?
Tom Tropp, the Practical Ethicist, draws on the concept of yin and yang to look at what we must do and what we should do, using insider information as an example.
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New DoJ policy limits settlement relief options
For years, companies facing regulatory settlements had the option of delivering payments to non-governmental third parties as part of their punishment. No longer.
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What would the regulators do?
A recent Senate Banking Committee hearing on “Fostering Economic Growth” showed that regulators are not entirely opposed to a regulatory rollback. Their thoughts are inside.
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SEC ponders public comments as fiduciary rule takes root with overseers
While the Labor Department and SEC are headed for a showdown over a fiduciary duty rule, another player has entered the mix: the CFP Board.
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ArticleAustralia mulls Modern Slavery Act
‘Land Down Under’ formalizes efforts to attack supply chain slavery issues and human trafficking.
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Cruel Britannia? U.K. grapples with modern slavery in its own backyard
There is far more modern slavery in the United Kingdom than one might think, but regulatory efforts have led to a sharp rise in referrals, awareness, and detection of forced labour.
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The Escobar decision, one year later
A year after the Supreme Court more closely defined materiality and implied consent in False Claims Act cases, compliance officers still have more questions than answers.