Appointment Blogs | Compliance Week – Page 182
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Kara Stein: A vision for data at the SEC
SEC Commissioner Kara Stein has renewed calls to create an Office of Data Strategy that would be tasked with coordinating the creation of a data strategy addressing how the SEC collects, manages, uses, and provides data. Jaclyn Jaeger reports.
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FASB’s new consolidation guidance lays off indirect interests
FASB’s new consolidation guidance is meant to help companies better determine whether a particular entity should be consolidated to financial statements. More from Tammy Whitehouse.
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New IIA data tallies political pressure on internal auditors
Tammy Whitehouse has the results of a new report from the Internal Audit Foundation that says one in four practitioners around the world face pressure to suppress or change audit findings.
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Conflicts of interest: The EU and the revolving door
Tom Fox explores the recent appointment of former EU commissioner Jose Manuel Barroso to non-executive chairman of Goldman Sachs’ London-based investment bank. Is the move a violation of conflict of interest rules?
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Podcast: Engaging an evolving workforce in compliance
In our latest podcast, we talk to Jeff Brandeis, growth markets director for Wolters Kluwer ELM Solutions, about the challenges presented by a multi-generational, multicultural workforce when designing a compliance program.
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Grapevine: Who’s coming and going in compliance
Firstmark Credit Union has strengthened its risk management division with the hiring of Tamika Baker as its first-ever chief risk officer; the American Institute of CPAs has appointed a new chair, and IASB named a new vice chair. Check out the CW Grapevine for the latest personnel moves.
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Firstmark Credit Union hires its first chief risk officer
Firstmark Credit Union has strengthened its risk management division with the hiring of Tamika Baker as its first-ever chief risk officer. Her appointment comes at a time when credit union compliance departments are facing a wave of stringent new regulatory requirements.
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Bridgewater Wealth names chief compliance officer
Bridgewater Wealth & Financial Management, a fee-only investment advisory firm, has appointed Marla Roeser as chief compliance officer.
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Waste Management appoints new chief accounting officer
Waste Management has appointed Darren Shade as vice president and chief accounting officer, the company announced in a Form 8-K filing with the Securities and Exchange Commission. Shade succeeds Don Carpenter, who will be retiring.
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RenaissanceRe Holdings names chief accounting officer and corporate controller
RenaissanceRe Holdings, a global provider of reinsurance and insurance, has announced several key leadership changes in its finance function, effective Dec. 31, 2016, including the appointment of a new chief accounting officer and a new global corporate controller
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Will SEC Chair White stay at agency until her successor is in place?
SEC Chair White has reportedly been asked by both the Clinton and Trump campaigns if she will consider staying on until her successor is in place. Congress' failure to act on two existing commissioner vacancies on the five-person SEC has further raised the stakes on this decision.
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U.K. introduces bill to tackle criminal financing
The U.K. government has published legislation that gives law enforcement agencies new powers to tackle money laundering and corruption, seize the proceeds of crime, and counter terrorist financing. Jaclyn Jaeger reports.
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SEC Enforcement's John Berry named Associate Regional Director in L.A. regional office
The SEC has named John W. Berry as Associate Regional Director for Enforcement in its Los Angeles Regional Office, filling the senior position formerly held by C. Dabney O’Riordan.
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Wells Fargo scandal prompts senators to focus on clawbacks, KPMG
Still responding to the Wells Fargo scandal, Senate Democrats are urging tougher clawback rules and grilling KPMG over its “failure to identify illegal activity when it audited the bank’s financial statements.” Joe Mont reports.
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A post-TARP proposal: Make CEOs certify banks are fraud-free
Amid demands for Wall Street prosecutions, a proposal by the special inspector general for the Troubled Asset Relief Program would force top bank executives to certify that their institutions are free of criminal conduct and civil fraud. Joe Mont has more.
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SEC introduces whistleblower 'pretaliation' to financial firm exams
The Securities and Exchange Commission's hunt for whistleblower “pretaliation” will now be a part of its nationwide examination and inspection program for financial firms.
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SEC adopts intrastate offering rules, expands Reg D
The SEC has adopted rules that modernize how companies can raise money through intrastate offerings. It also increased the current Regulation D limit on offerings from $1 million to $5 million.
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SEC proposes universal proxy cards
The SEC has proposed amendments to the proxy rules that would require parties in a contested election to use universal proxy cards that would include the names of all board of director nominees. Joe Mont reports.