All Compliance Week articles in Web Issue – Page 1125
-
Article
SEC charges former SeaWorld executive with insider trading
The SEC has charged the former general counsel of amusement park company SeaWorld Entertainment for his role in an insider-trading scheme, and it’s not the first time that a SeaWorld executive has been in trouble for misleading investors.
-
Article
R.J. O'Brien & Associates appoints chief compliance officer
R.J. O’Brien & Associates, an independent futures brokerage and clearing firm, has promoted Kathleen Clapper to senior director and chief compliance officer.
-
Article
Jarvis Global Investments names chief compliance officer
Jarvis Global Investments has named Katelyn Jarvis as chief compliance officer and director of retirement services.
-
Article
Ingersoll Rand names general counsel
Ingersoll Rand has appointed Evan Turtz as senior vice president and general counsel, effective immediately. He will serve as an officer of the company and be responsible for strategic leadership and oversight of Ingersoll Rand’s legal and compliance affairs worldwide.
-
Article
Encore Capital Group appoints chief risk officer
Encore Capital Group, an international specialty finance company, has appointed Doris Hektor as managing vice president and chief risk officer.
-
ArticleBrexit extended until 31 October
EU leaders continue to dawdle on Brexit. The U.K.’s exit from the European Union has once again been delayed—this time until Oct. 31.
-
ArticleFASB preps proposal to simplify income tax accounting
FASB is preparing a proposal to amend accounting standards in a way that is intended to ease the accounting for income taxes.
-
PodcastMarcel de Chermont: ‘no person left behind’
Marcel de Chermont, founder and principal of Caledonia Consulting, Inc., discusses with columnist Tom Fox how to tailor a risk-based compliance program to different groups of employees while getting the same message across.
-
Article
GE to pay $1.5B for misrepresentations concerning subprime loans
General Electric will pay a civil penalty of $1.5 billion to resolve claims under the Financial Institutions Reform, Recovery, and Enforcement Act involving subprime residential mortgage loans originated by WMC Mortgage, a GE subsidiary.
-
Article
Uber discloses its bribery and corruption risk
In its first-ever filing with the SEC, ride-sharing company Uber discussed its bribery and corruption risks, including an ongoing investigation by the Department of Justice into potential violations of the Foreign Corrupt Practices Act.
-
Article
Trump takes another swing at controlling independent agencies
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
-
ResourceThe OCEG GRC Illustrated Series: Finding Ultimate Beneficial Owners
Are you struggling with the challenge of identifying the real owners behind your customers or parties you do business with?
-
ResourceThe OCEG GRC Illustrated Series: Connected Management of Operational Risk Prevents Disruption
Are you facing constant disruptions to your business operations? Many things can disrupt the business and the measure of this disruption is called operational risk.
-
ArticleQ4 control disclosures inched upward, FERF says
Nearly one-fourth of filings with the SEC in the fourth quarter contained admissions of material weaknesses in internal control over financial reporting.
-
Article
Former VW boss charged over emissions scandal in Germany
German prosecutors have filed aggravated fraud charges against Martin Winterkorn, the former chief executive of Volkswagen, and four other unnamed managers for their involvement in the emissions-cheating scandal.
-
Article
Fugue enhances cloud compliance product
Fugue, a provider of autonomous cloud infrastructure security and compliance, announced new enhancements to its product designed to enable continuous compliance scanning and reporting across an organization’s cloud footprint.
-
ArticleAICPA revenue recognition guide hits audit, sector issues
Still looking for some help on revenue recognition? The AICPA has published an audit and accounting guide meant to work through industry-specific issues.
-
ArticleFCA publishes its Business Plan for 2019/20
The U.K. Financial Conduct Authority on 17 April published its Business Plan for 2019/20, outlining its key priorities for the coming year.
-
Article
UniCredit Group Banks to pay $1.3B for sanctions violations
UniCredit Group Banks will pay total financial penalties of approximately $1.3 billion for processing hundreds of millions of dollars of transactions through the U.S. financial system on behalf of an entity designated as a weapons of mass destruction proliferator and other Iranian entities subject to U.S. economic sanctions, the Department ...
-
Article
FTI Consulting appoints bank regulation co-leader
FTI Consulting announced the appointment of Senior Managing Director Stella Mendes as co-leader of the financial services bank regulation and governance practice within the firm’s Forensic & Litigation Consulting segment.