Melissa Klein Aguilar

To build a successful enterprise governance, risk, and compliance program, companies need a solid roadmap that aligns people, processes, and information. David Walter, RSA director for Archer eGRC Solutions, discussed ways in which companies can achieve that, during a recent seminar at Compliance Week’s annual conference in Washington, D.C., this week. There are many different […]

From internal investigations to data privacy issues to regulatory compliance, the overlap of privacy, security and compliance functions within an organization is inevitable. But where should privacy be housed in the organization to ensure effectiveness, and how should it interact with compliance, legal, and IT? These were only some of the questions answered during a […]

Now that the healthcare reform bill has been passed, legislators can begin to focus on another equally important issue: financial reform. “It’s very important for the financial industry that we get some stability,” Barney Frank, chair of the House Financial Services Committee, told an audience of compliance, risk, and audit executives during Compliance Week’s annual […]

The question for public companies of whether or not to split their chairman and chief executive roles is back in sharp focus, thanks to a recent Securities and Exchange Commission rule that requires companies to explain whether they split or combine their chairman and chief executive roles and why. At Compliance Week’s annual conference this […]

The Securities and Exchange Commission still has a long way to go in its quest to understand the causes of the financial crisis and from deterring those who commit wrongdoing. The SEC’s current way of doing things is not tough enough, SEC Commissioner Louis Aguilar told an audience of compliance and risk officers during Compliance […]

The Department of Defense is seeking comment on a proposed amendment to the Federal Acquisition Regulation that would bar contractors from being reimbursed for costs incurred in promoting or opposing union organizing. The Civilian Agency Acquisition Council and the Defense Acquisition Council published a proposal for comment that would amend the FAR to disallow the […]

Canadian securities regulators are eyeing updates to their rules governing issuer communications with beneficial owners who hold securities through intermediaries, including their own version of e-proxy. The Canadian Securities Administrators are seeking comment on proposed rule changes that, among other things, would allow a new “notice-and-access” model similar to the e-proxy rules in place in […]

As promised, the staffs of the Securities and Exchange Commission and the Commodity Futures Trading Commission have issued a report detailing the preliminary findings of their review of the May 6 flash crash. The 151-page report says there’s currently no evidence that the events, when the markets suddenly plunged more than 5 percent in a […]