Appointment Blogs | Compliance Week – Page 99
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Council of Europe: Finland must boost anti-corruption efforts in central governments
In an evaluation report published last month, the Council of Europe’s Group of States against Corruption (GRECO) called for Finland to strengthen its systems to prevent and detect corrupt behaviour in central governments—including the top executive functions—and law enforcement agencies.
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SEC obtains emergency freeze of $27M in stock sales of Longfin
The SEC has obtained a court order freezing more than $27 million in trading proceeds from allegedly illegal distributions and sales of restricted shares of cryptocurrency firm Longfin stock involving the company, its CEO, and three other affiliated individuals. The case is another example highlighting the difference between simply having ...
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SEC charges medical device company with fraud
The Securities and Exchange Commission has charged a medical-device company and convicted felon and former NHL team owner Peter Pocklington with defrauding investors by hiding Pocklington’s recidivist history and by misappropriating investor funds.
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SEC: Whistleblower collects $2.2M after first reporting to another federal agency
A former company insider whose tips helped the SEC open an investigation that led to an enforcement action was awarded more than $2.2 million. The whistleblower first reported the information to another federal agency and later provided the same information to the SEC.
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New York pension fund will vote against boards with no women directors
The New York State Common Retirement Fund, the third largest public pension fund in the United States, says it will vote against board directors standing for re-election at companies that have no women on their boards.
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AuditBoard, DLA partner to provide SOX compliance and audit solutions
AuditBoard, a provider of enterprise audit management software, and David Landau and Associates (DLA), a management consulting firm, announced a strategic partnership to help companies automate their risk compliance processes.
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New AI-enabled financial crime investigation management platform released
NICE Actimize, a NICE business, released its new Actimize ACTone, an artificial intelligence-enabled investigation management system that serves as the next-generation alert and case management platform for financial services firms.
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HID Global cyber-threat service brings AI to identity and access management
HID Global has introduced a new cyber-threat and fraud detection service that brings artificial intelligence and machine learning to identity and access management, addressing the rising incidents of cyber-attacks, especially against financial institutions.
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New solution transforms how boards manage cyber-risk
Secure Systems Innovation Corporation (SSIC), a cyber-risk management firm, has expanded its application of X-Analytics, its patented method for measuring and modeling cyber risk, for executives and boards seeking clarity related to the economics of cyber-risk management.
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Acting CFPB director wants a radical overhaul of the agency
In the pages of the CFPB’s semi-annual report, Acting Director Mick Mulvaney included four recommendations for legislative changes to the agency. “The Bureau is far too powerful, with precious little oversight of its activities,” he said.
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Treasury wants to ‘modernize’ Community Reinvestment Act
The Treasury Department has announced recommendations for updating the Community Reinvestment Act. The stated goal “is to better align CRA activity with the needs of the communities that banks serve.”
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Did some companies fudge their pay ratio disclosures?
As the initial batch of disclosures to meet requirements of the Securities and Exchange Commission’s pay ratio rule trickle in, activists are already flagging concerns that companies may be a bit too creative with their calculations.
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Senators demand data use answers from Grindr
In response to media reports that the LGBTQ dating app Grindr shared information about users’ HIV statuses with third parties, Senators Edward J. Markey and Richard Blumenthal are demanding answers about the company’s data practices.
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EPA wants to revise, scale back automobile emissions standards
The EPA is looking to backtrack from Obama-era fuel emission standards imposed upon auto manufacturers. Administrator Scott Pruitt announced a determination that the current standards “are not appropriate and should be revised.”
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Trump's new tariffs could trigger trade war with China
In response to what the White House views as China’s unfair trade practices, the Office of the U.S. Trade Representative has announced a list of products that could be subject to additional tariffs. China has countered with a list of its own.
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What is the tone at Facebook and how far down does it go?
What does tone-at-the-top mean at an organization? Is it win at any (literally any) cost? If that really is the message, how long, then, before it permeates all the way through the organization? asks The Man From FCPA.
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Pre-acquisition due diligence is critical in M&A work
Engaging in robust pre-acquisition due diligence can go a long way toward helping a company avoid FCPA liability, says The Man From FCPA.
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The board's role in hiring senior executives
The Man From the FCPA asks, “What is the role of a board of directors in hiring senior executives, chief compliance officers, and even other board members?” Both fiduciary risk and exposure for the board of directors cannot be overlooked.
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Boards and their own succession planning
What is the board’s role in succession planning? At a bare minimum, a board should assure there is a pipeline of qualified candidates for its own succession planning.
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CAQ offers tips to audit committees on leasing
The Center for Audit Quality is offering some tips to audit committees on how to query senior management regarding readiness for new lease accounting standards.