Articles | Compliance Week – Page 263
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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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ArticleAustralia mulls Modern Slavery Act
‘Land Down Under’ formalizes efforts to attack supply chain slavery issues and human trafficking.
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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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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.
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Evolving toward a modernized compliance program
The key to building a truly forward-facing compliance function is to make it proactive and predictive, visionary, and strategic. And none of that is particularly easy.
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Is it always wrong to tell a lie?
Got a question for the Practical Ethicist? Please send your ethical dilemmas to practicalethicist@complianceweek.com.
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Uber’s boardroom can lead to a culture turnaround
A look at female board members in the technology industry and their continuing push against the silicon ceiling.
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In the final push to new revenue rules, some turn to manual solutions
Delays in preparing for new revenue recognition requirements are starting to pinch the IT timeline, forcing many companies to develop manual workarounds.
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Treasury Dept. issues ambitious plan for regulatory deconstruction
Parallel to an ambitious bill to dismantle Dodd-Frank, the Treasury Department has plenty of its own ideas.
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The U.K. Criminal Finances Act seeks to stamp out corporate tax evasion
The forthcoming Criminal Finances Bill would pose potentially limitless liability for any company in the United Kingdom that is connected to a host of tax evasion-related offenses. But will this legislation actually accomplish much of anything?
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ArticleThe balancing act of Wall Street and Main Street
While deregulation advocates do battle with investor activists, there may be ideological balance in capital formation ideas.
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Countdown to MiFID II: Europe’s stickiest red tape?
MiFID II is looming, and it’s not just European companies’ problem—it will affect U.S. firms as well. An in-depth look at the rule provides companies with a checklist to assess their readiness.
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The Practical Ethicist: Behavior bordering on harassment
Tom Tropp addresses the fine line that separates harsh managerial behavior from outright harassment. Send your ethical dilemmas to practicalethicist@complianceweek.com.
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Auto industry choking on its own fumes
Volkswagen gets all the stick for being a problem child of the auto industry, but plenty of automakers have compliance issues of their own. A look at some key auto maker probes is inside.
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Five-year limit placed on SEC disgorgement penalties
The SEC must rethink how it collects billions of dollars through disgorgement now that the Supreme Court has imposed a five-year statute of limitations.
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10 reasons to be wary of new auditor disclosure rules
New disclosures required by auditors don’t produce any direct new rules for the public firms they audit, but companies can expect at least 10 potentially serious consequences.
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ArticleDodd-Frank reforms prevail in House; now what?
The Financial CHOICE Act, a weapon of Dodd-Frank destruction, has advanced from the House of Representatives. Companies, regulators, and Congress now face the repercussions.