All Compliance Week articles in Web Issue – Page 1063
-
Article
Best practices in policy management
A new study from NAVEX Global ranks companies’ management of their policies and procedures in terms of maturity.
-
Blog
Harley-Davidson: Cost implications of EU retaliatory tariffs
Harley-Davidson plans to shift production of its motorcycles for EU destinations out of the United States to its international facilities to avoid the EU’s retaliatory tariffs, providing a glimpse into the broader cost implications that the trade war is expected to have on global companies.
-
Resource
Index Your Bonds: A guide to dispelling the myths
Image: Most investors are familiar with equity index investing, but less so with indexing in fixed income. As a result of this lack of understanding, a growing number of publications are questioning the validity of bond indexing.
-
Resource
How technology is transforming the financial services industry
Image: Technology is transforming the financial services industry in remarkable and significant ways. New intelligence is calling on audit leaders to embrace their new normal—that nothing is normal—and innovate with technology to face it.
-
Article
SCOTUS delivers a constitutional blow to SEC’s ALJ process
The perpetually maligned use of administrative law judges at the SEC faces big changes after the Supreme Court, led by Justice Elena Kagan, agreed with constitutional challenges.
-
Article
French telecom execs face trial for moral harassment
Former executives of French telecom firm Orange have been charged under the country’s “moral harassment” law for encouraging an extremely high-pressure business environment, which reportedly led to more than 30 employee suicides.
-
ResourceRefocus your internal control lens on management review controls
Will the upcoming 16-year anniversary of Sarbanes-Oxley be a cause for celebration or a continued reflection of hitches faced along the way? The ball is in your court.
-
Blog
Wells Fargo settles with SEC over improper sales advice, strategy
An SEC announcement says Wells Fargo Advisors will settle charges that its sales team pushed retail investors to cash out non-liquid investments before their maturity, unnecessarily costing them money but improving the firm’s profits.
-
Blog
COSO publishes ERM examples to show case studies
COSO has published an addendum to its ERM framework to illustrate examples of how to apply the framework to real situations.
-
Blog
Altamont Capital Partners appoints chief compliance officer
Altamont Capital Partners, a private equity firm with over $2 billion under management, has named Jennifer Mello as general counsel and chief compliance officer.
-
Blog
BBVA Compass names chief compliance officer
BBVA Compass, the U.S. subsidiary of global financial services group BBVA, has named Celie Niehaus as chief compliance officer and a member of its management committee.
-
Blog
ProctorU names new chief compliance officer
ProctorU has named Pamela Fetterolf as chief compliance officer.
-
Blog
Consumer advocacy groups urge FTC to investigate Google, Facebook
Several consumer advocacy groups in the United States are urging the U.S. Federal Trade Commission to investigate what they say are “misleading and manipulative tactics” by Google and Facebook in violation of the General Data Protection Regulation.
-
Article
As immigration issues grow in intensity, companies are swept into the fray
Companies that might otherwise avoid politics and controversy are finding it hard to stay clear of the immigration debate.
-
Blog
Accuity trade compliance screening solution has new vessel monitoring capability
Accuity, a provider of financial crime compliance, payments and counterparty know-your-customer solutions, has released a new vessel monitoring capability, Firco Trade Compliance Ship Enforcement Alerts that enables companies involved in trade finance to track shipping vessels in real-time to ensure they are not in breach of international sanctions.
-
Blog
NAVEX Global offers free sexual harassment prevention training
Ethics and compliance software and services firm NAVEX Global now offers a free online awareness and training video series designed to help organizations focus on preventing sexual harassment and effecting positive changes in workplace culture.
-
Blog
Steele enhances AI capability with acquisition of TransparINT
Steele Compliance Solutions on June 25 announced its acquisition of TransparINT, a technology company harnessing artificial intelligence (AI) to provide the next generation of compliance tools.
-
Article
Q&A: Talking export compliance with ManTech
We caught up with Maria Assusa, director of corporate trade compliance at ManTech, to learn more about the company’s trade compliance program, what challenges it’s facing with the current trade sanctions environment, and lessons learned along the way.
-
Blog
SEC requires companies to move filings to inline XBRL
The SEC will require companies to integrate their XBRL and static financial statement data into a single filing beginning in 2019 for the largest entities.