All articles by Compliance Week – Page 10
-
Blog
Compliance Week will publish one day late this week
Compliance Week will publish one day late this week on Wednesday, Sept. 7, due to the Labor Day holiday.
-
Article
Evolving your identity management program: Six cautionary considerations
For compliance professionals in regulated industries, there’s perhaps no greater challenge than identity management. Call it a program, a best practice or simply a daily struggle to account for all users and all the systems to which they have access—identity management is a beast that is tough to tame.
-
Blog
EBA Consults on Draft Guidelines on Implicit Support for Securitisation Transactions
The European Banking Authority has launched a public consultation on draft guidelines on implicit support for securitisation transactions. The objective of the guidelines is to provide clarity on what constitutes arm’s length conditions and when a transaction is not structured to provide support for securitisations. The consultation runs until 20 ...
-
Article
Roundtable Biographies - 091515
On Sept. 15, Compliance Week and Workiva presented an editorial roundtable at the Hyatt Regency in Orlando. The focus of the roundtable, which was moderated by Compliance Week Editor Matt Kelly, was on compliance collaboration to drive ERM. Attendees’ full biographies are below.Marie BlakeEVP, Chief Compliance OfficerBank United Marie Blake ...
-
Article
Roundtable Biographies - 032415
On March 24, Compliance Week and ProcessUnity presented an editorial roundtable at the Waldorf-Astoria Hotel in New York City. The focus of the roundtable was on systematic vendor risk management. Attendees’ full biographies are below.William BrownChief Compliance OfficerKnights of Columbus William Brown joined the Knights of Columbus as chief compliance ...
-
Blog
HSBC Disciplines U.S. Executive Over Compliance Attitude
HSBC has decided to reassign the Americas head of its global banking division because of the manager’s poor attitude about the bank’s compliance and audit program, according to an update from its compliance monitor. The report cited that move as one example of HSBC’s improvement on compliance, while still warning ...
-
Blog
Editor’s Note: Presidents Day Schedule
Compliance Week will publish one day late this week, on Wednesday, Feb. 18, due to the Presidents Day Holiday in the United States.
-
Blog
Editor’s Note: Our Holiday Schedule
Compliance Week will publish one day late this week to observe the Martin Luther King Day holiday. Our next newsletter will arrive on Wednesday, Jan. 21.
-
Article
Roundtable Biographies - 120314
On Dec. 3, Compliance Week and LRN presented an editorial roundtable at the Four Seasons Hotel in Washington, D.C. The focus of the roundtable was on measuring program effectiveness. Attendees’ full biographies are below.Karen BerthaChief Ethics & Compliance OfficerMCR Karen Bertha serves as the chief ethics and compliance officer of ...
-
Article
Roundtable Biographies – 11/06/14
On Nov. 6, Compliance Week and Boeing presented an editorial roundtable at the Ritz-Carlton Hotel in Dallas. The focus of the roundtable, which was moderated by Executive Editor Joseph McCafferty, was on structuring compliance and ethics. Attendees’ full biographies are below.Candice AaronChief Compliance Officer, Equipment & Commercial DivisionGeneral Electric Candice ...
-
Article
Revenue Standard Delay; CW Ethics Forum; More
Coming in the Tuesday, Nov. 18 edition of Compliance Week: FASB considers a postponement of the revenue recognition implementation deadline—what that means for companies; also next week, how to write a more compelling and user-friendly code of conduct.
-
Article
Retirement Benefit Trend; SEC Rulemaking Concerns; More
Coming in the Nov. 11 edition of Compliance Week: CW’s Tammy Whitehouse looks at how many are considering new mortality rates in estimating retirement benefit costs; also next week, what companies have to say about long-awaited, most-anticipated, SEC rulemaking.
-
Article
Audit Staffing Concerns; Conflict Minerals Update; More
Coming in the Nov. 4 edition of Compliance Week: Internal audit staff shortages are causing a rise in audit fees and placing more demands on the IA function; also next week, CW’s Joe Mont provides a look at where companies stand in preparing for year two of conflict minerals compliance.
-
Article
Year-End Preparation; SEC Enforcement in 2014; More
Title: Year-End Preparation; SEC EnfoComing in the Oct. 28 edition of Compliance Week: Hear from audit experts on what steps to take in planning for year-end close; also next week, a look back at the record number of enforcement actions brought by the SEC in 2014.