All Compliance Week articles in Web Issue – Page 379
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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.
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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?
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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Article
Jarvis Global Investments names chief compliance officer
Jarvis Global Investments has named Katelyn Jarvis as chief compliance officer and director of retirement services.
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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.
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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.
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ArticleFed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
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ArticleAnalysts offer tips on reading financials with leases added
Analysts are advising investors to buckle up in preparation for first-quarter results that will, for the first time, include leases on the balance sheet.
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ResourceArtificial intelligence joins the AML crusade
Artificial intelligence is transforming the way that companies and regulators alike tackle money-laundering and terrorist financing risk in remarkable and significant ways.
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Resource2019 Directory of Governance, Risk, and Compliance Education Programs
Featuring some of the world’s most prestigious universities, the online directory serves as a valuable information resource for anyone in the professional field looking to further their education.
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ResourceSpecial report: Auditing your audit
Under rising pressure to be more transparent about how they oversee auditors, proactive audit committees are upping their game for evaluating all aspects of their audit
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ResourceA Global Look at Anti-Corruption Laws
Anti-corruption developments continue at full speed ahead around the globe - it’s hard for risk, compliance, and audit executives to keep up with it all.
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ArticleRoughly half of S&P 500 disclose expected CECL impact
A little more than half of the S&P 500 have disclosed something about how they expect to be affected by CECL reporting when it begins next year.