The Securities and Exchange Commission announced this week that it will be launching an examination initiative directed at newly regulated municipal advisors. SEC rules that took effect July 1 require municipal advisors to register with the SEC through the SEC’s EDGAR system under the final registration process during a four-month phase-in period by Oct. 31. […]
Risk Management
Posted inRisk Management
Kroll Appoints Three Senior Hires
Kroll, a provider of risk solutions, has brought on three senior hires to accelerate growth within the compliance market. Kevin Braine joins the firm as managing director, head of EMEA for the compliance practice. Braine, who will be based in London, will beresponsible for driving forward the expansion of Kroll’s compliance services throughout the […]
Posted inRisk Management
Convercent Announces Customer Wins
Convercent, a SaaS-based enterprise governance, risk and compliance (GRC) solution provider, has continued to expand its global footprint with several new enterprise customers. New customers in the second quarter, include: Philip Morris International; CH2M Hill; Under Armour; Einstein Noah Restaurant Group; Juniper Networks; and Dolby Laboratories. In September, Convercent will release a new expansion to […]
Posted inInternal Controls
BNP Paribas Replaces Compliance Chief, Overhauls Compliance Department
French banking giant BNP Paribas announced today that it is replacing its top compliance chief and undertaking a major reorganization to strengthen its compliance and internal control functions, following its record $8.9 billion settlement with the Justice Department this month for U.S. sanctions violations. Jean Clamon, who has served as head of group compliance since […]
Posted inInternal Controls
Study Up: Your Online Learning System May Be Vulnerable to Hack
Online learning is a booming part of compliance training these days—and a seldom-discussed IT weakness in such systems is growing along with it. First, the good news: e-learning for compliance is humming right along. Statistics specifically for compliance are hard to come by, but anecdotal evidence is strong. “In the early days, online training had […]
Posted inRisk Management
PwC Appoints New Principal to Risk Assurance Practice
PwC US has named Seth Rosensweig as a principal in the firm’s risk assurance practice to support its growing Advanced Risk & Compliance Analytics service line. Details inside.
Posted inBoards & Shareholders
Podcast: Boards Talk About Risk, What Are They Doing About It?
“Everybody talks about the weather, but nobody does anything about it.” That popular quote, often credited (incorrectly) to Mark Twain, could be modernized by replacing Mother Nature with cyber-security threats and reputation risk. EisnerAmper – an audit, tax, and advisory firm – has released its fifth annual survey of board members about the risks that […]
