Appointment Blogs | Compliance Week – Page 98
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Coalition forms to wrestle blockchain accounting issues
Accounting and tax professionals have formed a grassroots coalition to get their arms around blockchain and what it will mean for accounting and audit.
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SEC commissioners argue for increase to monetary cap on Regulation A
SEC Commissioners Michael Piwowar and Hester Peirce are breaking ranks with their peers over the monetary cap assigned to Regulation A exemptions. They want to boost the offering limit for the under-used exemption from $50 million to $75 million.
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SEC sets date to debate its own fiduciary duty rule
After months of parsing through comment letters and collecting financial industry feedback, the SEC is ready to inject itself in the controversial effort to create a fiduciary duty regulation for broker-dealers and investment advisers. The Commission has scheduled an open meeting on Wednesday, April 18, to debate a potential rule ...
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CAQ arms directors with cyber risk roadmap
To stoke more board inquiry on cyber-security, the CAQ has published a primer on questions that management and external auditors should be ready to answer.
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Three steps to fitting compliance into long-term business strategy
Incorporating the compliance function into a long-term business strategy starts with answering three important questions.
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Sempra Energy names chief accounting officer
Sempra Energy has announced several executive appointments as the company implements its leadership succession plan, including the appointement of Peter Wall as vice president, controller, and chief accounting officer, effective May 1.
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DoJ: Seized Website was a hotbed of sex, trafficking, money laundering
The Justice Department this week seized backpage.com, an online forum for prostitution ads, including those related to child trafficking. Days later, President Trump signed into law a bill that carves away one-time legal protections for such sites.
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Federal Reserve floats simplified capital rules and stress tests
The Federal Reserve Board is seeking public comments on a proposal intended to simplify its capital rules for large banks and potentially loosen requirements for the stress tests administered to them.
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Williams named president and CEO of New York Fed
John Williams, current chief executive officer of the Federal Reserve Bank of San Francisco, has been appointed to the same position at the Federal Reserve Bank of New York. He will replace current president William Dudley in June.
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CFPB seeks public input on complaint collection
Amid its current overhaul under new leadership, the Consumer Financial Protection Bureau is seeking feedback on its process for logging consumer complaints.
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AGs sue Trump Administration over Clean Air Act
A coalition of attorneys general has filed a lawsuit against the Trump administration and the EPA for “ignoring its legal duty to control emissions of methane, an extremely potent greenhouse gas, from existing oil and gas operations.”
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Ellison questions HHS hire from CVS Caremark.
Rep. Keith Ellison (D-Minn.) is asking Department of Health and Human Services Secretary Alex Azar for an explanation of the decision to hire CVS Caremark Vice President Daniel Best to lead the agency’s drug pricing reform effort.
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Rosenthal Collins Group appoints chief risk officer
Rosenthal Collins Group, an independent futures brokerage and clearing firm, has appointed Steve Ivey as executive vice president and chief risk officer.
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GAM names group general counsel
Asset management firm GAM announced that it has hired Rachel Wheeler as group general counsel.
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New PCAOB takes fresh look at auditor independence
The all-new PCAOB is taking a fresh look at whether auditors need new guidance on their required communication with audit committees regarding independence.
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Financial Conduct Authority 2018/19 business plan focuses on Brexit
The Financial Conduct Authority published its Business Plan for 2018/19, setting out its key priorities for the coming year, much of which reflects the resources needed to prepare for withdrawal from the European Union.
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Mark Thompson named interim director of the SFO
The Attorney General’s Office announced that Mark Thompson, currently chief operating officer at the Serious Fraud Office, will be appointed SFO director on an interim basis pending the next permanent director becoming available.
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SFO: AI powered ‘robo-lawyer’ enhances fight against economic crime
The U.K. Serious Fraud Office is making artificial intelligence available to all its new casework, speeding up the investigation process—and already other enforcement bodies around the world are looking to the SFO to share its experience with AI.
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U.K. government gets tough on poor payment practices in procurement
Suppliers will be excluded from major government contracts if they cannot demonstrate fair and effective payment practices with their sub-contractors, under a package of tough new measures announced by the U.K. government.
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Drug company investors set to vote on executive pay, drug prices
A handful of drug makers have lost their battle with investors who had submitted proposals seeking more information on the potential link between executive compensation packages and rising drug prices.