Articles | Compliance Week – Page 262

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Finding the hidden risks in sales practices

2017-02-14T13:30:00Z

As financial institutions pursue aggressive new sales goals, organizations need proactive, independent review of their own sales practices, write guest columnists Chris Sicuranza and Paul Noring.

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Weighing the issues of ISO 37001 certification

2017-02-14T12:00:00Z

Questions have emerged from the passing of the ISO 37001 anti-bribery standards. Jaclyn Jaeger recaps a recent KPMG webinar that seeks to answer them.

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Hallmarks of an effective ethics and compliance program

2017-02-14T11:45:00Z

You want a really top-notch ethics and compliance program? Then create a values-based workplace culture and forget about all those check-the-box metrics. Jaclyn Jaeger reports.

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Auditors prepare to inspect revenue recognition adoption

2017-02-14T11:00:00Z

Public companies beware: Auditors plans to scrutinize the impending switch to new revenue recognition accounting. Tammy Whitehouse reports.

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British police act as financial regulator in HBOS takedown

2017-02-14T09:15:00Z

British police arrested six people this week—two of them managers of banking and insurance firm HBOS—to end a six-year fraud investigation into a decade-old scandal. Neil Hodge reports.

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Romania faces anti-corruption demonstrations

2017-02-08T14:30:00Z

Romania’s attempt at amending legislation to make it more tolerant to abuse by government officials was far from well received by the general public, writes Neil Hodge.

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Trump’s regulatory overhaul goes beyond Dodd-Frank, fiduciary rule

2017-02-07T22:15:00Z

No, President Trump didn’t just kill the fiduciary rule and dismantle Dodd-Frank. Recent executive orders have set the stage for something far more complex and far-reaching. Joe Mont investigates.

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The rise of a new Department of Justice: Reading the tea leaves

2017-02-07T14:45:00Z

There is always a shake-up at the DoJ whenever a new Presidential administration takes over, but exactly what Trump has in store is still a mystery—not a large one, however, writes Jaclyn Jaeger.

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With Feds poised to scale back regulations, can states fill the void?

2017-02-07T13:45:00Z

With Congress and a new president dead set on rolling back rulemaking, state regulators may gain renewed prominence. Joe Mont explores.

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Internal auditors get new guidance to protect independence

2017-02-07T11:30:00Z

New standards tell internal auditors to safeguard their independence when asked to perform work other than internal audit—like helping with revenue recognition. Tammy Whitehouse reports.

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Breaking up is hard to do: Transparency International calls it quits on TI-USA

2017-02-07T11:15:00Z

Transparency International has pulled the accreditation on its U.S. chapter, but neither it nor the former chapter is explaining why. Jaclyn Jaeger has more.

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FRC spells out governance flaws and bids for more powers

2017-02-07T10:30:00Z

The Financial Reporting Council has published its annual report on corporate governance, and it looks as if boards need to do more to improve their corporate governance and reporting practices, writes Neil Hodge.

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Conflict minerals, extractive payments rules suffer fatal blows

2017-02-07T09:15:00Z

The SEC’s controversial conflict minerals rule and extractive payments disclosures will soon be gone, leaving companies to rethink corporate sustainability and compliance. Joe Mont has more.

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Cartel enforcement: all the rage in Europe

2017-02-07T09:00:00Z

What happens when big companies engage in cartel-esque behaviour? Neil Hodge offers some tips on how to avoid the fate of firms gone bad.

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Straddling the global enforcement pond

2017-01-31T15:15:00Z

Matthew Reinhard discusses the complexities involved in navigating joint United States, United Kingdom investigations.

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SEC still zeroing in on loss contingency disclosures

2017-01-31T12:30:00Z

Recent enforcement actions contain a not-so-subtle reminder to public companies that the SEC is still looking skeptically at legal settlements that blindside investors. Tammy Whitehouse reports.

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Navigating anti-competition enforcement globally

2017-01-31T12:30:00Z

Record fines, emerging enforcement priorities, and global collaboration among competition authorities are creating a host of legal and compliance risks for companies trying to navigate the global antitrust enforcement landscape. Jaclyn Jaeger has more.

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The Super Bowl of compliance: the attorney behind the big game

2017-01-31T10:45:00Z

As you watch the New England Patriots and Atlanta Falcons battle in the Super Bowl, noted attorney Tom Ajamie will be behind the scenes to oversee all things legal and compliance. Joe Mont reports.

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FTC charges Qualcomm with ‘monopolizing’ smartphone tech

2017-01-31T10:30:00Z

A feud between tech giants Qualcomm and Apple has gone global and the fallout could affect international IP rights as well as sales and licensing strategies in the tech sector, writes Joe Mont.

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Fillon and Trump: the nepotism boys

2017-01-31T10:15:00Z

President Trump and France’s would-be President Fillon face nepotism charges, but the playbook for both appears to pretend the rules simply don’t apply. Paul Hodgson reports.