All Compliance Week articles in Web Issue – Page 1007
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Blog
Mastercard releases anti-bribery training film
Chief ethics and compliance officers seeking real-life stories of corruption that they can embed into their existing online anti-bribery compliance training will want to check out a new anti-bribery training film from Front-Line Anti-Bribery and Mastercard.
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Blog
M&A fuels big number of audit errors, analysis finds
Public company audit deficiencies fell for a second consecutive year in 2015, but still cropped up in nearly one-third of all inspected audits, according to a new analysis.
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Blog
SEC takes some pain out of cross-border MiFID II compliance
New no-action letters from the SEC allow U.S. broker-dealers and money managers more time to prepare for new European regulations and MiFID II's demand for unbundled research.
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Blog
Insider trading, GAAP, and Newegg
Title: Insider trading, GAAP, and NewIn case you missed it this week, despite reminders from the SEC, T-Mobile releases non-GAAP data; the CEO of a German stock exchange operator resigns; and Newegg faces charges of co-conspiracy.
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Blog
Baseball informs your compliance program
With the Houston Astros set to play in the 2017 World Series, the Man From FCPA is tuning in and—much to his surprise—learning that baseball has multiple lessons for the compliance professional.
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Blog
OFR: Bank size not the whole story when measuring systemic importance
A new report from the Office of Financial Research argues that asset size alone is not an adequate determinant of the systemically important banks targeted for enhanced regulation.
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Blog
Eaton Vance names chief compliance officer
Eaton Vance, a global asset management firm, has appointed Richard Froio as chief compliance officer.
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Blog
LockPath and RiskRecon partner to increase TPRM visibility
LockPath has announced a new partnership with RiskRecon. Through this partnership, joint customers of LockPath and RiskRecon will be able to obtain a verifiable assessment of each third-party’s security practices.
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Blog
KPMG makes leadership, governance changes following internal investigation
KPMG International has taken several significant actions—including leadership changes, governance changes, and enhanced quality control procedures in certain areas—following an internal investigation concerning KPMG South Africa’s work on behalf of the politically connected Gupta family.
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Article
Defense contractors must face third-party risk head-on with new cyber-security rules
New, potentially overlooked government-issued cyber-security demands for defense contractors extend into their network of suppliers as of Dec. 31.
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ArticleSEC nominees make their pitch for long-empty seats
Questions about cyber-security, insider trading, materiality, and individual accountability greeted SEC nominees appearing before the Senate Banking Committee.
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Blog
Investors urge PCAOB to collect audit firm financials
In a largely symbolic gesture, an investor panel voted to recommend to the PCAOB that it collect audited financial statements from registered audit firms.
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Blog
New chapter begins in EU-Cuba relations
A new chapter in EU-Cuba relations will be marked on 1 November 2017, with the start of provisional application of the first ever agreement between the European Union and Cuba.
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Blog
Fallout of corruption in South Africa worries U.K. government
The House of Lords, the U.K. Parliament’s upper chamber, debated this month what action the U.K. government is taking to prevent money laundering through British banks by families and businesspeople linked to the government of South Africa.
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Article
New accounting rules mean new tools to achieve compliance
Massive new accounting requirements present a strong case for the deployment of new technologies to achieve compliance.
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Article
Bank of England: Banks not prepared for Brexit
European banks are under-prepared for Brexit and could lose access to the City of London if they do not move quickly to apply for a U.K. banking licence, a Bank of England committee has warned.
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Blog
Franchise owners pressure Congress on joint employer standard
Franchise business owners from 19 states have joined forces to demand clarity on joint employee status, fearing that federal, state, and judicial interpretations may differ. In letters to Congress, they also demand the passage of legislation to provide related assurances.
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Software demoProcessUnity Vendor Cloud software overview
With third-party risk automation, you can easily and efficiently minimize the risk to your valuable intellectual property and sensitive customer data, while also meeting the increasingly stringent regulatory requirements of your industry. Watch the video demonstration to learn more about ProcessUnity Vendor Cloud.
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Blog
Labor Dept. resurrects overtime rule, appeals judicial defeat
The Department of Labor will appeal a court ruling that invalidated a controversial rule on overtime pay as it moves forward with a revised set of requirements.