All Compliance Week articles in Web Issue – Page 428
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Blog
LeaseAccelerator achieves SOC 2 Type 2 compliance
LeaseAccelerator, a software-as-a-service solution for enterprise lease accounting, announced that it has successfully completed a SOC 2 Type 2 assessment performed by an independent third-party auditor.
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Blog
Ankura acquires Navigant's DFLT segment and TAS practice
Ankura, a business advisory and expert services firm, recently completed its acquisition of the Disputes, Forensics and Legal Technology (DFLT) segment and the Transaction Advisory Services (TAS) practice of Navigant.
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Article
EU proposes new money laundering rules
The European Commission wants to strengthen supervision over banks and other financial institutions to toughen up its fight against money laundering and terrorist financing after admitting that present measures have “failed all too often.”
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Blog
SEC chairman weighs in on role of guidance
Reacting, in part, to a recent statement by banking regulators regarding the role of guidance in their regulatory regimes, SEC Chairman Jay Clayton has clarified his own views on the topic.
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Blog
NLRB proposes change to joint-employer standard
On Friday, the National Labor Relations Board will publish a Notice of Proposed Rulemaking in the Federal Register regarding its joint-employer standard, a policy that will particularly affect franchise owners.
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Blog
Tax reform enthusiasm is waning, BDO poll says
As the true effects of tax reform unfold, enthusiasm is waning in corporate boardrooms, according to a recent poll.
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Article
English Court of Appeal preserves litigation privilege
An English Court of Appeal decision giving companies the right to protect documentation gathered during an internal investigation is a blow to both U.S. and U.K. regulators, who have grown increasingly concerned that firms may be hiding critical evidence under the guise of it being “privileged.”
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Article
Shareholders seeking $10.6 billion from VW over emissions disclosure
Shareholders seeking damages worth €9.2 billion (U.S. $10.6 billion) have taken German car giant Volkswagen to court in Germany for failing to inform them fully of the financial impact that the emissions cheating scandal would have on the company’s share price.
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Resource
Achieving Holistic AML
When it comes to customer risk, do your teams have the visibility they need to prevent an anti-money laundering (AML) violation?
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Blog
Venerable Holdings appoints chief risk officer
Venerable Holdings—a privately held company that owns and manages the legacy variable annuity business acquired from Voya Financial—has appointed Charles Schwartz as chief risk officer.
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Blog
UTC to pay $13.9M to settle SEC FCPA charges
United Technologies on Sept. 12 reached a $13.9 million settlement with the Securities and Exchange Commission to resolve charges that it violated the Foreign Corrupt Practices Act by making illicit payments in its elevator and aircraft engine businesses.
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Blog
Vanguard appoints global chief risk officer
Vanguard, an investment management company, has appointed Joseph Brennan to the newly created position of global chief risk officer. He also will serve as a member of Vanguard’s senior leadership team.
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ArticleCCOs and the absurdity of executive hypocrisy
The beauty of being in the compliance field (or writing about it) is that within any day’s news cycle, there are lessons to learn and debates to be had. This past week has been chock full of both.
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Article
Tackling the contentious issue of guidance vs. regulation
For years, a battle over the place of guidance in the regulatory world has been hotly debated. Now, there may be some clarity.
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Article
New SFO director will leverage compliance officers’ expertise
Head of the Serious Fraud Office Lisa Osofsky laid out her priorities for the agency in the coming months and provided CCOs a glimpse into what the SFO will expect.
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Blog
Still MIA: 2016 inspection report on KPMG
Audit regulators remain mum on when, if ever, they will publish a report on their 2016 inspection of Big 4 audit firm KPMG.
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ArticleSEC, FASB issue changes aimed at simplifying disclosure requirements
Companies need to update their disclosure controls and procedures now that the SEC and FASB are starting to trim unnecessary bulk out of disclosure requirements.
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Blog
Barbara Boehler joins Compliance Week as Director of Programming
Compliance Week on Monday announced the hiring of Barbara Boehler as its new Director of Programming. She will play a leading role in planning all live CW events in addition to developing in-depth reports, surveys, and Webinars.
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Blog
CFPB, amid controversy, names new advisory committees
The Consumer Financial Protection Bureau has announced the appointment of new experts from outside the federal government to the Consumer Advisory Board, Community Bank Advisory Council, and Credit Union Advisory Council.
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Article
Vocabulary to add to your compliance lexicon
A quick look at of some of the terminology associated with emerging technology and its application to governance, risk, and compliance. Instead of organizing this glossary alphabetically, we’ve started with the simplest terms before moving to more complex ones.