All Compliance Week articles in January-February 2019
View all stories from this issue.
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ArticleData-bungling Facebook has to earn back our trust
It was a tight race, but we are officially declaring Facebook founder and CEO Mark Zuckerberg as the executive most in need of a compliance makeover in 2019.
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ArticleCounterpoint: Deregulation aids the majority
Stockton University Professor of Finance Dr. Michael Busler says regulating industry can be very costly to consumers.
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ArticlePoint: Regulation is a stabilizing force
Santa Clara University behavioral finance professor Hersh Shefrin says regulation is a remedy for a host of imperfections that interfere with well-functioning markets.
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ArticleWhy continuous monitoring is crucial for TPRM
Three cautionary tales demonstrate the potential trouble a company can find itself in when third parties are not actively monitored.
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ArticleBest practices in preventing a third-party data breach
Examining how “high-performing” organizations handle their third parties lights the path for companies looking to strengthen the weakest links in their data chains.
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ArticleQ&A: Five questions with a TPRM specialist
Abercrombie & Fitch Senior Compliance Counsel Rob Seibel, a specialist when it comes to the implementation of a third-party risk management program, discusses trends and challenges around managing risks with third parties.
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ArticleThe risks of outsourcing compliance
Using external firms and consultants can bolster the effectiveness of certain compliance functions. Abdicating too much responsibility, however, could draw the ire of regulators.
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ArticleHow to break up with a third party the right way
Not all business relationships have a happy-ever-after ending, but there are things both parties can do to mitigate the risks of a third-party breakup.
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ArticleSpecial report: Third-party risk management
As firms increasingly turn to external partners, the risks they acquire can become an internal problem.
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ArticleAsk Amii mailbag: How a bad economy might impact compliance
In the “Ask Amii” monthly mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn checks in on how compliance would fare if the economy goes south, lessons from Facebook’s tough year, and more.
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ArticleWeary from accounting change? Brace for more in 2019
Change has become the new normal in public company accounting offices, and 2019 promises to deliver even more of the same.
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ArticleDisclosure reform an idea worth pursuing
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
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ArticleUnfinished business, lingering questions guide regulators into New Year
In 2019, regulators look to build on initiatives that began last year while tackling increased political tensions.
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ArticleHow compliance officers can shape enforcement in 2019
Compliance officers and in-house counsel will increasingly be expected to play a leading role in the Justice Department’s efforts to combat fraud in all areas in 2019.
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ArticleSEC enforcement priorities for 2019
The Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.
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ArticleAs deadline nears and ‘Brexhaustion’ sets in, still no deal in sight
With less than 100 days until Brexit and the sides taking a break until mid-January, it’s looking inevitable that anxious businesses will not have long-sought certainty on the issue until the clock ticks close to zero.
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ArticleAuditors finalize hot topic lists for 2018 year-end
As calendar-year companies approach their year-end close, audit firms are prepping teams for the big issues they need to scrutinize closely in their 2018 year-end audits.
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ArticleAs tensions grow, so do China-related compliance risks
Tariffs, trade secrets, and arrests fuel high-risk scenarios for companies that do business with organizations in China.
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PremiumTop ethics and compliance failures of 2018
The biggest ethics and compliance failures of 2018 feature some big names, such as Wells Fargo, Danske Bank, and Tesla, and highlight some key lessons for compliance officers.
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ArticleTed Baker launches probe into CEO ‘hugs’
Ray Kelvin, the founder of fashion retailer Ted Baker, stands accused of giving unwanted hugs to employees and has stepped down temporarily amid an investigation into allegations of sexual misconduct against him.