All United States articles – Page 245
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ArticleU.S., U.K. launch Financial Innovation Partnership
A newly formalized partnership between the United States and United Kingdom aims to embolden innovation in financial services.
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ArticleSEC awards whistleblower $4.5M in landmark case
For the first time ever, the Securities and Exchange Commission has awarded a whistleblower whose internal reporting led to a successful SEC case and related action.
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ArticleSEC to hold roundtable on public marketplace
Coming this summer: An SEC roundtable for the public and SEC staff to discuss short-term and long-term management, the periodic reporting system, and SEC regulations.
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Commerce unveils new attack on ‘currency manipulation’
The Department of Commerce has issued a notice of proposed rulemaking to impose countervailing duties on countries that act to undervalue their currency relative to the dollar.
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ArticleFSB continues push for Legal Entity Identifiers
The United States is among the laggards when it comes to international identifying codes for financial entities.
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ArticleCompanies prioritize director experience
New research from the Conference Board says that despite a desire for diverse skillsets, companies continue to value prior board experience in their director selection.
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ArticleHappy birthday, GDPR: A look back at Year 1
As the EU’s General Data Protection Regulation celebrates its first “birthday,” an expert panel met at Compliance Week 2019 to share their experiences in prepping, implementing, and following up.
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GE shareholders still want new auditor, vote suggests
While the rancor appears to have softened a bit, General Electric shareholders are still signaling to the audit committee that they want a new auditor.
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Article‘You have to say the corny stuff’: A compliance conversation with Preet Bharara
Former federal prosecutor Preet Bharara drew some laughs while imparting a few compliance lessons during his Tuesday morning keynote at CW’s annual conference.
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ArticleCompliance pioneer defines the future path of profession
Compliance functions of the future need to better use data, measure outcomes, and deal with differing views on what constitutes good ethics, says expert Hui Chen.
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ArticleClaire McCusker Murray: Incentivizing corporate compliance at the DOJ
Justice Department Principal Deputy Associate Attorney General Claire McCusker Murray spoke at CW’s annual conference on how the agency’s Civil Division seeks to motivate compliance.
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ArticleDOJ looks for robust internal audit, guidance says
Companies have new reasons to dial up internal audit in light of recent DOJ guidance on how its prosecutors should evaluate corporate compliance programs.
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ArticleMajor changes to California privacy law likely scuttled
An initiative to strengthen and enhance the California Consumer Privacy Act was basically left for dead in that state’s legislature.
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ArticleSenate confirms Jeffrey Rosen as deputy attorney general
The U.S. Senate has confirmed Jeffrey Rosen to be the next deputy attorney general, replacing Rod Rosenstein.
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ArticleFASB revises CECL to resolve dual measurement glitch
FASB has finalized a small change to CECL to help companies that were facing a conundrum based on a fair-value election elsewhere in GAAP.
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ArticleA new CCO’s Herculean task at Wells Fargo
Compliance Week chats with Wells Fargo CCO Mike Roemer about the challenge of rebuilding trust at a company that’s been the poster child of compliance and risk management gone wrong.
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U.S. could ban all Huawei products
New moves from the Commerce Department suggest a full domestic ban on products from the Chinese telecom giant Huawei are forthcoming.
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ArticleNon-banks still have plenty of work ahead to adopt CECL
Efforts to adopt CECL are generally underway in the banking sector, but companies outside financial services may still have plenty to do.
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ArticleSEC approves ‘long-term’ stock exchange
The SEC has approved a new national securities exchange committed to long-term investing.
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ArticleOCIE’s Driscoll on importance of CCOs
Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.