Appointment Blogs | Compliance Week – Page 181
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Audit costs take another upward turn in 2015
Rising audit costs of the past few years have not yet leveled off, based on the latest data on audit fees, with companies reporting a 9.16 percent rise in audit costs from 2014 to 2015. Tammy Whitehouse reports.
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CFTC plan to access source code slammed as regulatory overreach
To improve oversight of high-speed, automated trades the CFTC has a plan to access the source code that powers them. Critics say the idea undermines due process and has unnerving implications for how other regulators obtain data.
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Inquiry into Volkswagen emissions-cheating scandal widens
Volkswagen confirmed this week that Hans Dieter Pötsch, former group chief financial officer, has become the latest individual to face scrutiny as fallout from the Volkswagen emissions-cheating scandal continues. Jaclyn Jaeger has more.
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Caldwell: FCPA Pilot Program bringing more self-disclosures
When the FCPA Pilot Program was first announced, questions arose as to whether it would lead to an uptick in voluntary self-disclosures. According to Assistant Attorney General Leslie Caldwell, it has. Jaclyn Jaeger reports.
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SEC announces agenda, panelists for FinTech forum
The SEC will hold a daylong forum on the evolving use of FinTech in financial services and what it may mean for investors.
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Make it clearer, says Financial Reporting Council
The Financial Reporting Council has given audit committee chairs and finance directors a shopping list of improvements it expects companies to make to their annual reports. Paul Hodgson has more.
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FinCEN wants cyber-attack data in SARs
New guidance from the Financial Crimes Enforcement Network addresses the inclusion of information about both attempted and successful cyber-attacks in Suspicious Activity Reports.
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Grapevine: Who’s coming and going in compliance
Peninsula Petroleum has strengthened its risk management controls with the hiring of Mike Stark as its first-ever chief risk officer; and Charles River Laboratories and CorEnergy each have new chief accounting officers. Check out the CW Grapevine for the latest personnel moves.
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Peninsula Petroleum names first chief risk officer
Peninsula Petroleum, a global marine fuel and lubricant suppliers, has appointed Mike Stark as its first-ever chief risk officer.
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Charles River Laboratories chief accounting officer retires
Charles River Laboratories announced that John Crowley has retired as SVP, corporate controller, and chief accounting officer of to pursue an opportunity at a different company.
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CorEnergy appoints chief accounting officer
CorEnergy Infrastructure Trust, a real estate investment trust (REIT) that owns essential midstream and downstream energy assets, has appointed Nathan Poundstone as chief accounting officer.
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Global Eagle Entertainment has new chief accounting officer
Global Eagle Entertainment has appoint Frank Mullen to as senior vice president and chief accounting officer, the company announced in a recent securities filing.
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New analysis shows audit committees voluntarily say more
Another study confirms audit committees are trying to raise the bar in terms of how much they tell investors about their oversight of the external audit. Tammy Whitehouse has more.
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INVEST Financial names chief compliance officer
INVEST Financial, a member broker-dealer in the National Planning Holdings (NPH) network, one of the largest independent broker-dealer networks in the United States, has appointed Jason Albino as senior vice president and chief compliance officer for the firm.
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Starwood Hotels and Resorts compliance leader joins Squire Patton Boggs
Jose Martin Davila, who most recently served as director of compliance for Americas and French Polynesia at Starwood Hotels and Resorts Worldwide, has joined as of counsel in the government investigations and white-collar practice of law firm Squire Patton Boggs, based in Miami.
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Compliance Risk Concepts names anti-corruption and ethics practice leader
Expanding its scope of compliance specialties to anti-corruption and Foreign Corrupt Practices Act resolution, Compliance Risk Concepts, a compliance risk management support services firm, has hired Daniel Dorsky as principal of its anti-corruption and ethics practice.
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DDIQ automated due diligence solution built for ISO 37001
OutsideIQ’s DDIQ corporate due diligence product has been launched specifically to help businesses meet the guidelines of the new International Organization for Standardization (ISO) anti-bribery standard, ISO 37001.
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Two thumbs up for David Smyth’s ‘Insider Trading Cartoon Series’
Bruce Carton looks at former SEC enforcement attorney David Smyth’s “The Insider Trading Cartoon Series,” a 10-part (and counting!) cartoon series of interesting lessons about the intriciacies of insider-trading law.
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1MDB-a truly international fight against corruption
Tom Fox looks at the alleged looting of Malaysian sovereign wealth fund 1MDB and the implications it has for fighting global corruption.
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ISS unveils annual policy recommendations
The annual one-two punch of a global policy survey and corresponding policy updates from leading proxy advisory firm Institutional Shareholder Services is upon us once again. Joe Mont looks at the recommendations under consideration for U.S. companies.