Articles | Compliance Week – Page 267
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What President Trump means for regulation and regulators
A Trump administration promises to roll back the SEC, the CFPB, Dodd-Frank, and Obamacare. But that is all much easier said than done, reports Joe Mont.
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Tax reform looks likely, but companies advised to hold tight
Under a Trump presidency and a GOP Congress, corporate tax reform is considered inevitable. Tammy Whitehouse asks: Should companies alter tax planning or compliance activities?
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Q&A: NACD Managing Director Steven Walker on continuous improvement for boards
Joe Mont talks with Steven Walker of the National Association of Corporate Directors about the need for continuous improvement to corporate boards.
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Regulators send a perverse message by using our compliance programs against us
The degree to which organizations’ compliance programs are being used against them by regulators is creating a perverse incentive system, writes Joe Murphy.
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Don’t worry—the need for compliance officers trumps deregulation
Just because Donald Trump suggested getting rid of a host of federal regulations doesn’t mean that there won’t be a need for compliance. More from Jaclyn Jaeger.
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The smart money is on corporate social responsibility
Corporate social responsibility isn’t just a feel-good exercise. It pays off huge dividends in the problems it prevents, writes Jaclyn Jaeger.
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Social media compliance is growing up, with new tools, challenges
As the financial services industry embraces social media, its compliance officers need new tools to make sure nothing slips through the cracks. Tim Sprinkle explains.
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Rare FCPA action puts financial services firms on notice
Thanks to wayward hedge fund Och-Ziff, the entire finserv world might face an FCPA sweep. Compliance officers, take note. Jaclyn Jaeger reports.
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Wells Fargo and the whistleblower lessons it imparts
Ethics and compliance officers can learn a lot from the toxic corporate culture at Wells Fargo, especially as it concerns lessons in whistleblower protections. Jaclyn Jaeger has more.
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Despite heightened risks, auditors limit cyber-questions
Auditors are arming up to be more proactive in the escalating cyber-war, but this year they’re still limiting their focus to financial statement risk. Tammy Whitehouse has more.
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ISS finalizes new U.S. shareholder voting policies
The annual ISS review of shareholder voting policies is out, and Joe Mont has the rundown on what it all means.
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TalkTalk’s £400,000 data hack fine is a dire warning
Regulators have used TalkTalk as an example that they can and will go after companies that take cyber-security and protecting customer data lightly. Neil Hodge explores.
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Cobalt may be next big challenge for corporate sustainability
Yes, there still remains some uncertainty about the SEC’s conflict minerals rule. Four years later, notes Joe Mont, add another concern: cobalt.
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ISS seeks comment on proposed voting policy changes
Paul Hodgson looks at proxy advisory firm Institutional Shareholder Services’ proposed changes to its 2017 voting policies.
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Survey: Trials, tribulations of third-party risk management
Jaclyn Jaeger has the results of a new survey jointly conducted by Compliance Week and Crowe Horwath that explores the many trials and tribulations of third-party risk management programs.
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An inside look at the SEC Office of the Whistleblower
Jaclyn Jaeger talks with Sean McKessy, who served as first-ever chief of the SEC’s Office of the Whistleblower, about the Whistleblower Program, his time at the SEC, and how companies could improve their whistleblower programs.
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New sanctions, export controls guidance from DoJ
The Justice Department just made it a lot harder to get credit for voluntarily self-disclosing potential violations of sanctions and export controls. Jaclyn Jaeger reports.
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Big bucks mean big headaches as CEOs face personal scrutiny
The era of “plausible deniability” for CEOs may be coming to an end as pay scrutiny goes hand-in-hand with personal liability. Joe Mont explores.
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3 ways audit committees can rein in corporate culture
After another banking scandal, heads are turning to the audit committee for answers. Tammy Whitehouse reports on how audit committees can fix errant corporate culture.
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Is universal proxy voting a boon or bust for directors?
Joe Mont reports on the SEC’s proposal for universal proxy cards. Meant to improve board composition, some fear they might create shareholder chaos.