Appointment Blogs | Compliance Week – Page 166
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The Samsung corruption scandal—an unrecognized cost
The past year was particularly bad for Korean electronics giant Samsung, and it looks like 2017 has gotten off to the same rough start. Tom Fox looks at the recent arrest of Lee Jae-yong, vice chairman of Samsung Electronics, on charges of bribery, embezzlement, and perjury.
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Companies now doing compliance in Brazil
Corporations in other countries are increasingly moving from a paper-based compliance program to actually doing compliance. The Man From FCPA Tom Fox reports.
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ICSA initiates governance sea change
A call to overhaul the U.K. board governance system involves an unlikely alliance of organizations that underscores just how badly some camps want change. Paul Hodgson has more.
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Going concern audit rules updated for private, not public, companies
Private company audits soon will reflect new standards around the going concern call, but public companies will be getting their new standards no time soon. Tammy Whitehouse reports.
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FASB issues yet another revenue recognition clarification
Down deep in the weeds of the implementation of new revenue recognition accounting, companies have a new clarification to consider from FASB, writes Tammy Whitehouse.
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SEC issues new guidance on ‘robo-advisers’
The Securities and Exchange Commission this week published information and guidance for investors and the financial services industry on the fast-growing use of robo-advisers. Jaclyn Jaeger has more.
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U.K. House of Commons passes asset-freezing bill for human rights violators
The U.K. House of Commons this week passed by unanimous vote a draft bill that would allow the British government to freeze the U.K. assets of international human rights violators in the United Kingdom. Jaclyn Jaeger reports.
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Aspect Capital appoints chief risk officer
Aspect Capital, a U.K.-based investment manager, has promoted Anna Hull to chief risk officer and to the board. She was previously director of risk and in charge of Aspect’s risk team, which is responsible for the oversight of all market, model and operational risks across Aspec.
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Avant names chief risk officer
Avant, an online lending platform, has appointed Grant Miles, a financial industry veteran with global banking giant HSBC, as chief risk officer.
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Danske Bank appoints new chief risk officer
Danske Bank has appointed Carsten Egeriis as its new chief risk officer. He will head group risk management and will join Danske Bank’s executive board by Sept. 1.
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Database naming engagement partners mushrooms with new filings
The public database created by the Public Company Accounting Oversight Board to identify engagement partners overseeing public-company audits is growing, with partners on about 175 engagements now identified. Tammy Whitehouse reports.
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Mary Jo White returns to Debevoise
Mary Jo White, former chair of the SEC, is returning to legal practice at Debevoise and will serve as senior chair of the firm. Andrew Ceresney will also rejoin Debevoise after serving under White as the director of the SEC Division of Enforcement. Jaclyn Jaeger has more.
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Oracle helps global companies manage tax reporting
Oracle announced a new finance cloud solution, Oracle Tax Reporting Cloud Service, that helps companies operating in multiple countries to meet complex taxation requirements and regulatory reporting standards imposed by each country.
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AlienVault takes Unified Security Management platform to the cloud
AlienVault, a provider of Unified Security Management and crowdsourced threat intelligence, announced the availability of USM Anywhere, an all-in-one Software-as-a-Service (SaaS) security-monitoring platform designed to centralize threat detection, incident response, and compliance management of cloud, hybrid cloud, and on-premises environments from a single cloud-based console.
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LightCyber introduces new tools for corporate security assurance
LightCyber, a provider of Behavioral Attack Detection solutions, has launched new tools that equip enterprises to meet increasing board demands for security accountability and compliance with internal and industry regulations, such as the General Data Protection Regulation.
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SEC to host crowdfunding symposium
The Securities and Exchange Commission announced that it will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based crowdfunding on various market participants. Jaclyn Jaeger reports.
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The Four Goods
As in the sport of jiu-jitsu, the four goods, “good control, good technique, good position, and good submission,” could also benefit the world of compliance, writes Bill Coffin.
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Department of Justice guidance: ‘Evaluation of Corporate Compliance Programs’
With little fanfare, the Department of Justice last week published a list of sample topics and questions, entitled the “Evaluation of Corporate Compliance Programs.” Ethics and compliance officers will find the document useful as it provides a more explicit explanation as to what common questions the Fraud Section may ...
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SEC, NASAA sign info-sharing agreement for crowdfunding
The North American Securities Administrators Association, representing the interests of state securities agencies, and the Securities and Exchange Commission signed an information-sharing agreement as new rules to facilitate intrastate crowd-funding offerings and regional offerings take effect. Jaclyn Jaeger has more.
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Spain and the fight against royal corruption
A guilty verdict that sent the brother-in-law of the King of Spain to jail for fraud could signal that Spain is getting serious about corruption. Tom Fox says it was the first time a member of the Spanish royal family had been forced to stand trial, a move widely applauded ...