Articles | Compliance Week – Page 257
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The director dilemma: a love/hate relationship with shareholders
One lesson to come out of the Wells Fargo shareholder meeting: Directors and shareholders should fight to preserve their contentious relationship.
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Artificial intelligence and the financial services sector
Across financial services, the allure of greater compliance efficiency at markedly lower cost makes investing in regulatory technology an easy sell.
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Preventing False Claims Act liability
During a recent panel, federal and state officials, corporate defense attorneys, and whistleblower reps alike debated the ins and outs of U.S. FCA cases and how to defend them.
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ArticleKurt Drake: The integration master
Before joining Kimberly-Clark as its chief ethics and compliance officer in 2016, Kurt Drake already had more than 20 years of global ethics and compliance and finance experience.
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A double whammy for the cosy club
Directors in the United States and United Kingdom are facing increasingly divergent realities when it comes to regulatory accountability. And that gap is only growing.
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ArticleMary Gentile: The practical ethicist
Mary Gentile is one of the ethics field’s most renowned educators for her results-based ethics training that doesn’t ask: “What is the right thing to do,” but rather: “How do we get the right thing done?”
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ArticleWith a new chairman, SEC readies its focus on IPOs, capital formation
Expect a focus on capital formation and improving the stagnant marketplace for public offerings under new SEC Chairman Jay Clayton.
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Obama’s ‘fiduciary duty’ rule may be living on borrowed time
Free-market advocates are gaining traction to overturn the Obama administration’s rule that places additional responsibilities upon financial services representatives.
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Auditors: How can they be appointed independently?
A series of severe fines and reprimands involving auditor misconduct raises a thorny question: Could, or should, organizations have independently appointed auditors?
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ArticleData breach trends industry-by-industry
The 2017 Verizon Data Breach report is out, and it has some timely pointers for how healthcare, financial services, manufacturing, and retail organizations can improve their cyber-security.
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Control Risks compliance survey
Companies are reluctant to invest in compliance and may be at risk of underestimating their exposure to tough laws that hold them to account for their operations and their supply chains, according to a new report.
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ArticlePeter Driscoll: The risk detective
Under Peter Driscoll’s lead, the SEC Office of Compliance Inspections and Examinations uses a risk-based approach to fulfill its mission to promote compliance with U.S. securities laws.
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ArticleMara Davis: The media mind
As the chief of compliance for one of the world’s biggest media companies, Mara Davis has taken a communications-based approach to building a strong code of business conduct and cultivating a stronger speak-up culture.
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Are shell companies a compliance nightmare?
Deeply suspicious oil, gas, and mining deals that involve complex use of shell companies raise concerns over the use of shell companies themselves. They might be legal, but are they good compliance practice?
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ArticleSean X. McKessy: King of the whistleblowers
Sean McKessy spent several years at the SEC building its whistleblower protection program, putting in place an incentive program for paying whistleblowers, and creating a new way for the SEC to break cases.
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Survey: Banks not preparing enough for CECL standard
According to a recent survey by RapidRatings and Compliance week, banks are nowhere near ready for FASB’s CECL requirements scheduled to go into effect in 2020.
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How compliance, data sharing empower FinCEN’s war on terror and crime
Addressing Congress, FinCEN Acting Director Jamal El-Hindi discussed how his agency prevents bad actors from infiltrating the financial system.
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GDPR’s hidden e-mail risks
With the EU’s tough new data protection standard fast approaching, a company’s e-mail system poses plenty of easily overlooked compliance risks.
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ArticlePlans pile up to revise Dodd-Frank, but can they succeed?
Critics of the Dodd-Frank Act, like torch-bearing villagers in a horror movie, want to kill the legislation by any means necessary, while others seek more measured reforms.
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ArticleRichard Bistrong: The great communicator
Richard Bistrong, CEO of Front-Line Anti-Bribery, is one of the compliance world’s most outspoken voices on how companies can build better and more ethical businesses.