Respondents to a survey conducted by Compliance Week and FTI Consulting largely indicated third parties to be the most heightened area of risk to their businesses this year, with reporting and dashboarding and enhancing analytics capabilities among top priorities.
Kyle Brasseur
Posted inRisk Management
SEC proposal seeks risk stability for clearing agencies
The Securities and Exchange Commission proposed a package of rule changes designed to enhance the risk management responsibilities and resilience of covered clearing agencies.
Posted inEthics & Culture
CW2023 leadership panel assesses new DOJ priorities, training impact
Recent policy changes at the Department of Justice provided plenty of fodder for a leadership panel of senior legal and compliance practitioners to discuss during Compliance Week’s 2023 National Conference.
Posted inRegulatory Enforcement
Ex-Apple engineer charged with theft of trade secrets in DOJ sweep
A new strike force co-led by the Department of Justice and Commerce Department made an impact when charges against a former Apple engineer for theft and attempted theft of trade secrets were included as part of its first enforcement actions.
Posted inEthics & Culture
It’s not you, it’s your brain: CW2023 kicks off with neuroscience reality check
Neuroscientists Dr. Sahar Yousef and Lucas Miller kicked off Compliance Week’s 2023 National Conference with a keynote reminding attendees we’re all human and there are habits we think set us up for success that actually work against us.
Posted inAccounting & Auditing
Career fraud fighter Haluk Ferden Gursel honored for Lifetime Achievement
Haluk Ferden Gursel brought his experience in fraud prevention to the United Nations, World Health Organization, classroom, and more, solidifying himself as an expert on the subject and earning recognition for Lifetime Achievement at the 2023 Excellence in Compliance Awards.
Posted inAccounting & Auditing
SEC risk alert highlights transition efforts from LIBOR
The Division of Examinations at the Securities and Exchange Commission issued a risk alert to aid registered investment advisers and investment companies in their transition efforts away from the London Interbank Offered Rate.
Posted inAccounting & Auditing
FRC probing Deloitte work at retailer Joules Group
The U.K. Financial Reporting Council launched an investigation into the work of Big Four audit firm Deloitte at collapsed clothing retailer Joules Group.
Posted inEurope
Croatian DPA levies largest GDPR fine
The Croatian data protection authority handed down its largest penalty under the General Data Protection Regulation to date: a fine of nearly €2.3 million (U.S. $2.5 million) against debt collector B2 Kapital.
Posted inRegulatory Enforcement
SEC shatters whistleblower award records with $279M bounty
The Securities and Exchange Commission announced its largest-ever whistleblower award at nearly $279 million—more than double the agency’s previous record bounty.
