All Compliance Week articles in Web Issue – Page 382
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What Swedbank is saying about its multiple investigations
It has been a tumultuous few weeks for Swedbank as it fends off several investigations, including for money laundering and insider trading, resulting in the dismissal of its chief executive officer.
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Grant Thornton earns record low deficiency rate
Grant Thornton earned a record low deficiency rate on its newest audit inspection report, the first major firm to deliver a rate in the teens since 2009.
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Brexit deadlock: Going through the motions
With U.K. Prime Minister Theresa May’s Brexit deal twice defeated, Members of Parliament were tasked with finding an alternative solution through a series of eight “indicative,” non-binding votes. After all eight were rejected, what happens next?
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Embattled Wells Fargo CEO steps down
Wells Fargo announced Thursday that Chief Executive Officer and President Timothy Sloan intends to retire, effective June 30. He will step down as CEO, president, and board member effective immediately.
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Companies walk judgment tightrope as Brexit doubts peak
Preparers are facing some brutal accounting judgments as they approach the end of a reporting period straddling key dates in a chaotic Brexit.
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May: Approve my Brexit plan, and I’ll resign
With a bold—but likely inevitable political gambit—U.K. Prime Minister Theresa May has made a promise to Members of Parliament: Vote for her Brexit plan, and she will resign.
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South America cleans up its act
A look at key investigations and enforcement actions in South America and Mexico in the past four years signifies a changing legal landscape that offers compliance lessons in advancing third-party anti-corruption compliance.
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Report: FTC, CFPB have blind spots for credit reporting agencies
A report by the Government Accountability Office finds that the FTC and CFPB have oversight and enforcement shortcomings when it comes to credit reporting agencies.
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World Bank Group debars for one year Vietnamese water and sewerage company
The World Bank has imposed a one-year debarment on Vietnamese, state-owned water and sewerage company Vietnam Water and Environment Investment Corporation – JSC.
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Resource
How to Detect the 7 Types of Document and Identity Fraud
Forgeries. Imposters. Counterfeit documents. You can’t afford to let fake identities slip through the cracks and put your company—and your customers—at risk.
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A closer look at the revised FCPA Corporate Enforcement Policy
The Department of Justice in recent months has made several notable revisions to its FCPA Corporate Enforcement Policy surrounding M&A, messaging apps, and much more.
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Article
RK&O announces Board & Director Advisory Group
Richards Kibbe & Orbe LLP announced the launch of the law firm’s Board & Director Advisory Group designed to serve corporate boards and independent directors.
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Kryon, Proservartner partner on AI
Robotic process automation (RPA) company Kryon announced a partnership with international consulting firm Proservartner designed to enable customers to implement strategies that leverage RPA and artificial intelligence.
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SEC awards $50M to two whistleblowers
The Securities and Exchange Commission announced awards totaling $50 million to two whistleblowers whose high-quality information assisted the agency in bringing a successful enforcement action.
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U.S. Chamber ponders quarterly reporting, pitches ‘company files’
The U.S. Chamber of Commerce’s Center for Capital Markets Competitiveness has entered the fray over potential reforms to the timing and substance of corporate disclosures. Its pitch: a centralized “company file” to replace the current process for delivering investor information.
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FASB revises proposed changes to income tax disclosure
FASB has revised its proposed changes on tax disclosures to respond to feedback to an earlier proposal and to reflect changes under tax reform.
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Resource
Following Privacy’s Yellow Brick Road with BDO: GDPR – CCPA
With new privacy regulations in the works, the California Consumer Privacy Act (CCPA), effective January 2020, stands out as the next big privacy regulation companies will need to grapple with.
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Resource
2019’s Key Tech Trend for Capital Markets? That’s Private
To get the full use of your data as data privacy rules increase, you need an innovative technology approach.
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Article
Avenatti arrest fallout: don’t confuse whistleblowing with extortion
A high-profile arrest of Michael Avenatti for an extortion scheme against Nike raises difficult questions of corporate responsibility regarding whistleblower initiatives.
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Article
Merrill Lynch to pay $8M for improper handling of ADRs
The Securities and Exchange Commission on March 22 announced that Merrill Lynch, Pierce, Fenner & Smith will pay over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts.