Appointment Blogs | Compliance Week – Page 176
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How to get a Volcker rule extension for illiquid funds
Banks have some new guidance on how to seek an extension for conforming their investments in "illiquid funds" to the Dodd-Frank Act's Volcker Rule. Joe Mont reports.
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PCAOB hits Deloitte again, this time at Netherlands affiliate
Deloitte has taken another enforcement hit from the PCAOB, this time for independence violations at an affiliate in the Netherlands. More from Tammy Whitehouse.
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Hensarling warns SEC about 'midnight regulations'
The chairman of the House Financial Services Committee is warning the SEC to put a halt to any new rules it may have planed prior to the start of the Trump Administration.
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Grapevine: Who’s coming and going in compliance
Automotive giant Daimler has appointed a new chief compliance officer and head of group compliance; the OCC, the world’s largest equity derivatives clearing organization, also named a new chief compliance officer this month, with immediate effect; and South Jersey Industries, an energy services holding company, appointed a new chief risk ...
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Argentine sports media company to pay $112M in FIFA probe
Torneos y Competencias, an Argentine sports marketing company, agreed to pay over $112.8 million in forfeiture and criminal penalties to resolve U.S. charges relating to wire fraud conspiracy in connection with the FIFA corruption scandal. Jaclyn Jaeger reports.
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How JPMorgan Chase avoided prosecution over ‘Sons and Daughters’
At one time, it looked like JPMorgan Chase had landed in fairly hot water with its ‘Sons and Daughters’ bribery scandal. But for every misstep, says Tom Fox, there is a path to freedom.
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CAQ nudges audit committees on revenue recognition oversight
Citing an “urgent” need for audit committees to get up to speed on implementation of the new revenue recognition standard, the Center for Audit Quality offers some pointers. Tammy Whitehouse has more.
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Did Wells Fargo Give Prudential a Black Eye?
Tom Fox epxlores how the business relationship between Prudential and scandal-ridden Wells Fargo put Prudential in hot water.
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Companies fixed prominence most in non-GAAP sweep
To respond to pushback on non-GAAP accounting, most companies made changes to how prominently they displayed such figures, according to a recent analysis. Tammy Whitehouse reports.
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The FCPA and ‘Islands of Honesty’
The Man From FCPA Tom Fox explores a recent article that hopes to answer the question: Why are so many governments around the world collapsing amid corruption scandals?”
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Wesco Aircraft names global controller, chief accounting officer
Wesco Aircraft Holdings, a provider of comprehensive supply chain management services to the global aerospace industry, has named Chris King as vice president, finance and global controller, effective immediately. He also has been named as the company’s chief accounting officer.
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Smarsh acquires MobileGuard
Smarsh, a provider of cloud-based information archiving solutions for compliance, e-discovery, and risk management, has completed the acquisition of MobileGuard, a mobile communication monitoring and retention solutions provider.
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New board member joins IASB
The Trustees of the IFRS Foundation, led by Michel Prada and responsible for the governance and oversight of the International Accounting Standards Board, have announced that Françoise Flores will join as a board member on Jan. 1, 2017. Find more personnel announcements in the CW Grapevine.
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Opus launches third-party compliance solution for banks
Compliance solutions provider, Opus, recently announced the introduction of the Hiperos 3PM Banking Accelerator, a unique, pre-configured solution for third-party risk management.
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Daimler names new chief compliance officer
Olaf Schick has been appointed as the new chief compliance officer at Daimler, effective March 1, 2017. Thus, he will also head group compliance.
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Tower MSA Partners names chief compliance officer
Tower MSA Partners, which provides Medicare Secondary Compliance services and Medicare Set-Asides in workers’ compensation and liability, has appointed Dan Anders to the newly created position of chief compliance officer.
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OCC names new chief compliance officer
OCC, the world’s largest equity derivatives clearing organization, has promoted Joe Adamczyk to senior vice president and chief compliance officer, replacing Richard Wallace.
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CEI offers roadmap for congressional deregulation efforts
Add more ammo to the pile for republicans embracing deregulation during the Trump Administration. The Competitive Enterprise Institute is out with a comprehensive list of rule-paring recommendations. Joe Mont has more.
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Shark bites shark: Publicly-traded law firm on receiving end of securities class action
Bruce Carton reports on the case of Slater & Gordon and how professional courtesy couldn’t keep rival plaintiffs’ law firms from filing a securities class action against the struggling law firm.
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SEC enforcement director Ceresney to depart agency this month
The SEC announced today that Enforcement Director Andrew J. Ceresney will leave the agency by the end of this month. Ceresney has served as Enforcement Director (or Co-Director) since joining the SEC in April 2013. Deputy Director Stephanie Avakian will serve as Acting Director upon Ceresney’s departure,.