All Compliance Week articles in Web Issue – Page 467
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Blog
Big banks want nationwide breach standards
the Financial Services Roundtable, a trade group for the nation’s largest banks, is calling upon Congress to “enact a strong set of national data security standards” in efforts to better protect consumers and sensitive financial information.
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Blog
PCAOB censures former engagement partner over Koss audits
The PCAOB has censured the partner who oversaw audits at Koss, where a top finance executive went prison on charges of embezzling more than $30 million.
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Software demoCoordinating the three lines of defense with TeamMate+
TeamMate+ is a comprehensive platform that provides tools to enhance coordination among the three lines of defense and permit a secure but flexible means of proactively viewing activities without the need for traditional communication methods.
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Resource
Preventing worldwide human rights abuses
No company in the world wants to be the subject of a human rights abuse violation. In this eBook, produced by Compliance Week in partnership with iPoint, chief compliance officers, chief risk officers, and in-house counsel will learn everything they need to know about how to mitigate such a risk.
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Article
FCA calls for technology for ‘smarter’ regulatory reporting
In a bid to cut down on firms’ “burdensome” reporting woes while easing its own workload to review such reporting, the Financial Conduct Authority is seeking input on how technology could make regulatory reporting simpler and more consistent.
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Article
Canada to introduce deferred prosecution agreements
Canada plans to introduce legislation that would pave the way for DPA provisions like those already present in the U.S., the U.K., France, and Australia.
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Article
More companies adopting forensic data analytics
According to a new report, forensic data analysis yields better compliance and risk management, but few are actively collaborating on making it a reality.
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Blog
Former Co-operative Bank chair banned from the financial services industry
The Financial Conduct Authority has banned former Co-operative Bank Chair Paul Flowers from the financial services industry after he was caught using his work phone and e-mail to conduct inappropriate phone calls and send sexually explicit messages.
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Blog
Financial Conduct Authority bans former Deutsche Bank trader
The U.K. Financial Conduct Authority has fined Guillaume Adolph, a former short-term interest rate derivatives trader at Deutsche Bank, £180,000 and banned him from performing any function in relation to any regulated financial activity.
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Blog
SFO to seek retrial of three former Tesco managers
The U.K. Serious Fraud Office is seeking a retrial of three former senior managers of retail company Tesco, who are facing fraud and false accounting charges.
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Article
SEC keeps options open for mandatory shareholder arbitration
SEC Chairman Jay Clayton has floated the idea of mandatory shareholder arbitration, raising issues about agency enforcement and investor protection.
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ArticleCryptocurrencies give rise to a new kind of hacking threat
Recent price spikes of virtual currencies have inspired a new breed of hackers who don’t want your data—just your processing power.
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Article
Creating a culture open to change
In this latest installment of the GRC Illustrated Series, OCEG and Compliance Week explore ways to help companies combat resistance to a change in corporate culture.
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Blog
New study says long audit tenure slows corrections
Recently published academic research suggests there is indeed a detriment to audit quality when audit firms hold long tenures on audit engagements.
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Blog
Dallas Mavericks seeking chief ethics and compliance officer
In an effort to clean up its toxic workplace culture, the Dallas Mavericks are looking to hire a chief ethics and compliance officer.
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Article
Early adopters of simpler hedge rules pause in uncertainty
Simpler hedge accounting regulations have accountants and FASB alike wondering if they need even further clarification.
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Blog
Preventing money laundering in law firms
Strict new anti-money laundering regulations will make compliance matters much more complicated for U.K. solicitors whose business makes them a target for money laundering operations.
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Blog
Autoliv elects two new board members
Autoliv, an automotive safety systems company, has added two new independent directors to the Autoliv Board, Hasse Johansson and Thaddeus “Ted” Senko, effective March 2. With the addition of Johansson and Senko, Autoliv has expanded its board size from nine to eleven directors.
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Resource
7 Step Guide to Risk & Compliance
This guide provides insight into how technology can empower compliance professionals with the correct tools to assess regulatory impacts, then communicate this information effectively throughout your organization. In short, Signavio’s 7 Step Guide to Risk & Compliance will help ensure compliance becomes a company-wide endeavour, by harnessing the skills, knowledge, ...
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Blog
The board's role in internal controls
Internal controls for a board or board compliance committee should be broken down into five concepts, says The Man From FCPA.