Articles | Compliance Week – Page 274

Article

SCOTUS ruling a boon for prosecutors, but questions linger

2016-12-13T09:00:00Z

The Supreme Court has turned back the clock on insider-trading law, giving prosecutors renewed leeway despite lingering questions, reports Joe Mont.

Article

Governance compliance on the rise, but more is not always better

2016-12-06T14:30:00Z

Compliance and reporting are on the rise, but so is the amount of material used as documentation. Is quality getting mired by quantity? Paul Hodgson reports.

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Fostering an ethical culture with training

2016-12-06T13:45:00Z

Culture is the holy grail of ethics and compliance programs, but it’s also the one area that ethics and compliance officers struggle with the most. Jaclyn Jaeger explores today’s innovative solutions inside.

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Former Southwest CEO: Harnessing an ethical culture

2016-12-06T13:15:00Z

During a keynote address at a recent NAVEX conference, Howard Putnam, former CEO of Southwest Airlines and Braniff International Airways, spoke candidly about harnessing the business value of an ethical culture. Jaclyn Jaeger has more.

Article

My Compliance Library: Is it time for an incentive mine sweep?

2016-12-06T12:30:00Z

Richard Bistrong and Marc Hodak discuss pay-for-performance and its role in corporate ethics and compliance policies.

Article

Are pharma firms set for increased scrutiny?

2016-12-06T11:30:00Z

How pharmaceutical firms price their products is getting a lot of additional attention in the United Kingdom and United States. Neil Hodge reports.

Article

Talking to ‘The Infiltrator’ about AML

2016-12-06T11:00:00Z

Joe Mont talks to Robert Mazur, the undercover agent portrayed in the movie The Infiltrator, and Bill Sweeney, financial services evangelist at BAE Systems Applied Intelligence, about the shadowy underworld of money laundering.

Article

For whom the ring tolls: Companies struggle with TCPA

2016-12-06T10:30:00Z

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

2016-12-06T10:15:00Z

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.

Article

Comment letters with no response

2016-12-06T09:30:00Z

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.

Article

Better cyber-security through better cyber-compliance training

2016-12-06T09:15:00Z

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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New York’s new cyber-security demands draw near

2016-11-29T21:30:00Z

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.

Article

Court pumps brakes on Labor Department’s overtime rule

2016-11-29T21:15:00Z

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

2016-11-29T11:45:00Z

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

2016-11-29T11:30:00Z

Jaclyn Jaeger recaps a record-breaking year for SEC enforcement activity, and what to expect in the year ahead.

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Closing the gap between risk management and sustainability

2016-11-29T11:15:00Z

For companies complying with internal board initiatives to create a more sustainable business, integrating risk management is key, writes Jaclyn Jaeger.

Article

Your big day in court: The compliance challenges of witness preparation

2016-11-29T11:15:00Z

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.

Article

Ready for Justice Department scrutiny of your compliance program?

2016-11-29T10:45:00Z

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.

Article

Questions abound as companies adopt new lease accounting standard

2016-11-29T08:45:00Z

The rise in questions on the new lease accounting standard suggest some companies are cracking the spine on that new rulebook, reports Tammy Whitehouse.

Article

The PCAOB must provide better guidance for ICFR

2016-11-22T14:15:00Z

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.