Appointment Blogs | Compliance Week – Page 119
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Putting a human face on the internal reporting process
Some lessons from two infamous whistleblowers: Daniel Ellsberg, who was responsible for the Pentagon Papers, and Wendy Addison, who spoke recently about her experiences in bringing to light fraud and corruption in LeisureNet Ltd. back in 2000.
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Is the FIFA brand toxic?
FIFA continues to present lessons for the compliance practitioner, and this one is straight-forward: if your organization is corrupt, other companies may well not want to do business with you going forward.
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Compliance in an economic downturn
In an economic downturn, there are two increasing compliance risks for companies that could make them in conflict with the 2012 FCPA enforcement guidance: (1) They eliminate compliance personnel in a cost-cutting attempt; (2) They neglect to invest monies needed to enhance monitoring or other mechanisms.
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Mapping your internal compliance controls
By mapping out the internal controls your company has in place to the indicia of the FCPA Enforcement Guidance’s Ten Hallmarks of an Effective Compliance Program and the 2013 COSO Internal Controls Framework, your company can ascertain what it has and what needs to be implemented.
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Marsh & McLennan Companies chief accounting officer to retire
Marsh & McLennan Companies, a global professional services firm, announced the appointment of Stacy Mills as vice president and controller, effective Jan. 1, 2018. In this role, Mills will serve as chief accounting officer and report to Chief Financial Officer Mark McGivney.
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KeyCorp chief risk officer to retire in 2018
Financial services company KeyCorp announced that Chief Risk Officer Bill Hartmann will retire in 2018. Filling this role will be Mark Midkiff, who will join the company on Jan. 22, 2018.
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Battle lines solidify ahead of ‘net neutrality’ vote
Amid still-growing controversy, the Federal Communications Commission is readying itself for a ‘public’ hearing on one of the most controversial topics it has ever weighed in on: “net neutrality.”
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Tax reform deal will set reporting scramble in motion
With a tax reform package all but complete, experts are alerting companies to get their tax records in order to prepare for a flurry of year-end transition activity.
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CFTC issues guidance on CTA registration requirements under MiFID II
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight this week issued interpretative guidance, clarifying commodity trading advisor registration requirements resulting from the European Union’s MiFID II research compensation provisions for investment managers.
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Announcing the FINRA Institute at Georgetown
The Financial Industry Regulatory Authority and Georgetown University’s McDonough School of Business have announced a partnership to deliver the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional(CRCP) Program in Washington, DC.
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SEC appoints all new board to lead PCAOB in 2018
The SEC is cleaning house at the Public Company Accounting Oversight Board, appointing five new board members to take over the reins beginning in January.
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Atea Denmark attains ISO 37001 certification
Atea Denmark, a supplier of IT infrastructure and system integration in the Nordic and Baltic regions, has become the first organization in Denmark to attain the highest international anti-bribery certification, ISO 37001 – Anti-bribery management systems.
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Kraft Heinz names general counsel and corporate secretary
Food and beverage giant Kraft Heinz has named Rashida La Lande as its new global general counsel and corporate secretary, effective in mid-January 2018.
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Delayed inspection reports will show plateau in audit improvements
When reports begin to emerge on the latest inspection findings for the major audit firms, they will show no broad, appreciable improvements over the prior year.
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Aggressive global anti-fraud enforcement to continue
If you thought that enforcement actions like Odebrecht and Vimpelcom were behind us, guess again. They were just the tip of the iceberg. Welcome to the enforcement era.
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SEC, ICO scams, and Bitcoin
This week: Bitcoin shows no signs of stopping as it hits more records, the SEC makes first moves against ICO scams, and a Brazillian mayor tries to govern via WhatsApp.
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K1 Investment Management acquires Actiance
K1 Investment Management, an investment firm, recently announced the acquisition of Actiance, a communications compliance, archiving, and analytics provider.
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LockPath, SecurityScorecard partnership increases vendor risk management efficiencies
LockPath, a provider of compliance and risk management software, recently announced the availability of the integration of its Keylight Platform with SecurityScorecard’s security rating platform. This product integration is aimed at helping organizations make their vendor assessment and management processes more efficient, while strengthening security programs.
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Seclore and Boldon James launch automated data protection and compliance solution
Seclore, a browser-based data-centric security solution provider, and Boldon James, a data classification and secure messaging software provider, have reached a strategic OEM partnership agreement, launching an end-to-end, automated data protection and compliance solution.
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Dentons launches anti-bribery tool
Global law firm Dentons recently announced the launch of its groundbreaking interactive web-based tool that puts key aspects of global anti-corruption laws at users’ fingertips, allowing for quick, customizable comparisons across multiple jurisdictions.