Articles | Compliance Week – Page 266
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For whom the ring tolls: Companies struggle with TCPA
A sector-wide swath of companies has faced expensive troubles under the consumer-friendly Telephone Consumer Protection Act. Its upward enforcement trend is especially troubling in an age where direct outreach to consumers is of increasing importance, says Joe Mont.
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Audit cost data hint at improvements in internal control
The newest data on audit costs suggest public companies, or at least the largest ones, might be getting a handle on internal control over financial reporting. Tammy Whitehouse reports.
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Comment letters with no response
Nobody likes to get a comment letter from the SEC, but what happens when you don’t respond or comply with one? Mercedes Erickson has the answers.
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Better cyber-security through better cyber-compliance training
The Achilles’ heel of every cyber-security program is compliance. Javvad Malik offers some tips on how the right kind of training can fix that.
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ArticleNew York’s new cyber-security demands draw near
The Empire State is on track to impose a comprehensive slate of new cyber-security rules for banks and their vendors. More from Joe Mont.
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Court pumps brakes on Labor Department’s overtime rule
New federal overtime requirements for white-collar workers are in doubt following a nationwide injunction imposed by a federal judge, writes Joe Mont.
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Slavery risks on compliance agenda
With the number of people being sold into slavery on the rise every year (there are currently between 21 and 46 million victims of slavery worldwide, with one new victim every 4-8 seconds), experts discuss how to battle slavery risk in the corporate supply chain. Neil Hodge reports.
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SEC enforcement trends to watch in 2017
Jaclyn Jaeger recaps a record-breaking year for SEC enforcement activity, and what to expect in the year ahead.
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Your big day in court: The compliance challenges of witness preparation
Getting a witness ready for court often calls for training, but the U.S. and the U.K. have big differences in how much training is allowed. Mark Solon explains.
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Closing the gap between risk management and sustainability
For companies complying with internal board initiatives to create a more sustainable business, integrating risk management is key, writes Jaclyn Jaeger.
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Ready for Justice Department scrutiny of your compliance program?
Nobody wants the Department of Justice to take a critical look at their compliance program. But Gejaa Gobena has some tips for how to survive the process.
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Questions abound as companies adopt new lease accounting standard
The rise in questions on the new lease accounting standard suggest some companies are cracking the spine on that new rulebook, reports Tammy Whitehouse.
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The PCAOB must provide better guidance for ICFR
When it comes to better understanding how to live up to Auditing Standard No. 5, “talk to your auditors” is poor advice, writes Bob Conway.
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Navigating the risks of individual accountability for corporate wrongdoing
How can directors and officers better protect themselves and their organizations in a post-Yates Memo era of accountability? Kevin Hyams has some answers.
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Biggest companies wrapping up revenue recognition studies
Big companies are wrapping up revenue recognition assessments and determining what to disclose to investors at year-end. Tammy Whitehouse has more.
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Compliance officers scratch heads as U.S. trumps Brexit
Somehow, the election of Donald Trump as U.S. president is likely to make compliance officers’ jobs both harder and easier. Paul Hodgson explains.
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ArticleAML strategies keep evolving, and so do the risks
New and evolving technology may help institutions avoid AML and KYC compliance risks, or restore a damaged reputation, says Joe Mont, but not without the right strategy and training in place.
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White’s SEC departure inspires reflection, fear of ‘midnight regulations’
Chairman Mary Jo White’s pending departure from the SEC has inspired a look back at her accomplishments and encouraged advice for her successors. Joe Mont reports.
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Modern slavery: the global construction industry’s open secret
The global construction industry is a hotbed of criminal labour exploitation, but alert compliance officers can do something about it. More from Paul Hodgson.
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Trump presidency: Thoughts on regulatory changes from Europe
Neil Hodge explores promised “regulatory reform” under the new Trump regime; what’s in store for America—what’s in store for the world?