- Topics
- Training
- Events
- Webcasts
- Resources
- CW Exclusives
- Membership
We offer four membership levels: Single User, Small Team, Medium Team,
and Large Team. Visit our page to decide which level is right for you.
Provided by Morgan Lewis2023-09-19T20:46:00
Compliance professionals surveyed regarding their anti-bribery and corruption efforts (ABAC) indicated resource support deficiencies in areas including staffing and technology.
The survey, conducted online by Compliance Week and law firm Morgan Lewis between May and June, gathered responses from 154 practitioners. Nearly half the respondents (48 percent) said they expected bribery and corruption risks to increase over the next 2-3 years, while 39 percent felt it would remain the same over that period.
Insights shared from respondents included:
2023-09-27T20:21:00Z By Kyle Brasseur
A Colombian affiliate of Big Four audit firm Deloitte agreed to pay $900,000 as part of a settlement with the Public Company Accounting Oversight Board addressing alleged quality control lapses that occurred during the 2016 audit of a bank.
2023-09-27T19:43:00Z By Jeff Dale
The Securities and Exchange Commission ordered New York-based investment adviser Bruderman Asset Management and its principal to pay a total of $250,000 over their alleged failure to disclose misuse of profits raised from clients.
2023-09-27T18:47:00Z By Kyle Brasseur
A broker-dealer affiliate of Citi agreed to pay nearly $8.3 million as part of a settlement with the Financial Industry Regulatory Authority addressing allegations the firm overtendered shares in partial tender offers and received millions in ill-gotten gains.
2023-07-24T18:22:00Z Provided by Guidehouse
Three out of four financial services firms that chose to outsource portions of their financial crime compliance function reported they were pleased with the results, according to a new survey conducted by Compliance Week and Guidehouse.
2023-07-18T07:30:00Z Provided by Riskonnect
The recent banking crisis—in which three mid-sized U.S. banks failed—prompted just under half of compliance professionals across all industries to reassess their TPRM procedures, according to a recent survey conducted by Compliance Week and Riskonnect.
2023-05-15T05:08:00Z Provided by FTI Consulting
Nearly two-thirds of senior compliance executives anticipate third parties to be the most heightened area of risk to their businesses in 2023, according to the results of a new study.
Site powered by Webvision Cloud