Appointment Blogs | Compliance Week – Page 127
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LockPath and RiskRecon partner to increase TPRM visibility
LockPath has announced a new partnership with RiskRecon. Through this partnership, joint customers of LockPath and RiskRecon will be able to obtain a verifiable assessment of each third-party’s security practices.
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Eaton Vance names chief compliance officer
Eaton Vance, a global asset management firm, has appointed Richard Froio as chief compliance officer.
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OFR: Bank size not the whole story when measuring systemic importance
A new report from the Office of Financial Research argues that asset size alone is not an adequate determinant of the systemically important banks targeted for enhanced regulation.
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Baseball informs your compliance program
With the Houston Astros set to play in the 2017 World Series, the Man From FCPA is tuning in and—much to his surprise—learning that baseball has multiple lessons for the compliance professional.
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Insider trading, GAAP, and Newegg
Title: Insider trading, GAAP, and NewIn case you missed it this week, despite reminders from the SEC, T-Mobile releases non-GAAP data; the CEO of a German stock exchange operator resigns; and Newegg faces charges of co-conspiracy.
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SEC takes some pain out of cross-border MiFID II compliance
New no-action letters from the SEC allow U.S. broker-dealers and money managers more time to prepare for new European regulations and MiFID II's demand for unbundled research.
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M&A fuels big number of audit errors, analysis finds
Public company audit deficiencies fell for a second consecutive year in 2015, but still cropped up in nearly one-third of all inspected audits, according to a new analysis.
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Mastercard releases anti-bribery training film
Chief ethics and compliance officers seeking real-life stories of corruption that they can embed into their existing online anti-bribery compliance training will want to check out a new anti-bribery training film from Front-Line Anti-Bribery and Mastercard.
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Accountants lobby GOP with tax reform wish list
In a letter to Republican party officials, the American Institute of CPAs outlines tax reform priorities and concerns. “If Congress lowers the income tax rates for C corporations, all types of business entities should receive a rate reduction,” it says.
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Core Laboratories: Unaoil probe ends in DoJ declination
Core Laboratories said in a securities filing today that the U.S. Department of Justice has closed its investigation into possible violations of the Foreign Corrupt Practices Act related to the oil services company's interactions with Unaoil.
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New York’s AG battles White House over coal subsidies
New York Attorney General Eric Schneiderman is going to war with the White House, trying to put an end to a Department of Energy plan to subsidize coal-burning power plants.
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FTC expands enforcement guidance on childrens’ privacy laws
The Federal Trade Commission has expanded its guidance for companies coming into compliance with the Children’s Online Privacy Protection Act. The changes apply to the collection of voice recordings.
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Congressional hearing puts SEC nominees in the spotlight
This week, the Senate Banking Committee held its first nomination hearing for Hester Peirce and Robert Jackson, President Trump’s nominees for to serve as SEC commissioners.
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Senate kills CFPB mandatory arbitration ban
With Vice President Mike Pence breaking a 50-50 vote tie, the Senate has quashed the CFPB’s controversial ban on the mandatory arbitration clauses widely used by financial services firms.
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SEC approves new audit report format, CAMs and all
In an investor-friendly decision that deputizes auditors with new duties, the SEC has approved to a new rule expanding the public company audit report.
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SEC: Compliance officer stole $9M from charity
The Securities and Exchange Commission has charged a chief compliance officer with defrauding a non-profit charitable foundation out of $9 million over the course of twelve years.
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German automakers raided in antitrust probe
The European Commission this week confirmed that European antitrust authorities have carried out inspections at the premises of several car manufacturers in Germany.
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Culture, compliance, and the board
Companies need to beware of two debilitating types of corporate culture, according to Uber board member Arianna Huffington, “the cult of the top performer” and “the culture of burnout and stress.”
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e-Commerce and tax e-Vasion
The European Union and the tech industry are locked in a perpetual struggle over taxation, but the EU is making moves to close certain tax avoidance avenues for good.
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Harvey Weinstein—the FCPA angle
More trouble for Harvey Weinstein? The scandal-plagued Hollywood exec’s purchase of a $75K dress that was given to an un-named Qatari individual who was prepared to invest some $20,000,000 in an animation movie fund could be an FCPA violation.