All Compliance Week articles in Web Issue – Page 475
-
Article
Lax AML controls plague Mexico's financial services sector
Politically exposed persons, beneficial ownership, and suspicious transactions all continue to bedevil Mexican banking efforts to combat money laundering and terrorism financing.
-
Article
How data and analytics drive Microsoft’s compliance mission
As a leading global enterprise, Microsoft has a pretty full plate of compliance matters to handle. That’s why it relies so much on data, analyftics, and skillful oversight to manage its risk.
-
Blog
Petrofac board: An update on SFO investigation
The board of directors of oilfield services provider Petrofac this week provided an update on the U.K. Serious Fraud Office's investigation into the company.
-
Article
Lactalis baby milk recall a nightmare of its own making
French dairy giant Lactalis is facing a massive baby milk recall both due to salmonella and its failure to disclose the contamination in a timely manner.
-
Blog
EU sanctions three South Sudan officials
The European Council has added three persons involved in serious human rights violations to the list of those submitted to a travel ban and an asset freeze in view of the situation in South Sudan.
-
Article
Preventing sexual misconduct at work starts with culture
Allegations of sexual misconduct that have surfaced in recent months underscore how important it is to reevaluate how to address sexual harassment in the workplace.
-
ArticleFraud, conspiracy charges pile on audit committee task list
Charges of fraud and conspiracy have rocked the audit profession and raised concerns about the regulatory process, leaving audit committees with more questions to ask auditors.
-
Blog
EU-Norway sign agreement, strengthening VAT fraud prevention
The European Union and Norway this week signed an agreement that will provide EU member states and Norway with a legal framework for administrative cooperation in preventing VAT fraud and assisting each other in the recovery of VAT claims.
-
Blog
EU auditors to examine food safety policy
The European Court of Auditors is conducting an audit of EU food safety policy, the focus of which will be on the control system for chemical hazards, poisonous substances that occur naturally or are added during food production or handling.
-
Resource
Financial Services: Managing Digital Risk and Compliance
Cyber criminals go anywhere there’s a potential financial gain, and FIs a top target. To fight back against these potential threats, you need a digital risk and compliance solution built for all your digital channels.
-
Article
Prudential Financial’s Lee Augsburger and the power of culture
When you’re one of the world’s biggest insurance companies, embracing cultural difference is key to creating a truly global compliance program that delivers results.
-
Article
Adapting the regulatory landscape for FinTech remains a challenge
As FinTech services proliferate, state and federal regulators are considering how to create a simpler set of rules, but progress has been slow.
-
Blog
Deficiencies in ISO 37001
As the drumbeat of those supporting ISO 37001 continues, The Man From FCPA takes a look at the standard’s downside.
-
Blog
Fed drops hammer on Wells Fargo, board for past misdeeds
On her last day as Federal Reserve Chairman, Janet Yellen escalated the regulatory attack on the embattled Wells Fargo, restricting the growth of the firm until it “sufficiently improves its governance and controls.”
-
Blog
How suppliers facilitate fraud and corruption
Compliance officers should always remember there is a bribe receiver in a corruption case. That is why it is important to know not only your third party, but also with whom you are doing business.
-
Blog
What is a conflict of interest?
A look at the case of Dr. Brenda Fitzgerald, the now former head of the Center for Disease Control, who invested in tobacco stocks after she became director.
-
Blog
Compliance tone at the bottom
Even with a great tone-at-the-top and in the middle, you cannot stop. One of the greatest challenges of a compliance practitioner is how to affect the “tone at the bottom.”
-
Blog
Using investigative findings as the basis of remediation
There is nothing like an internal whistleblower report about an FCPA violation to trigger the board of directors and senior management attention to the compliance function and the compliance program.
-
Blog
Arachnys and Fenergo sign strategic partnership agreement
Arachnys, a cloud-based investigation management technology provider, and Fenergo, a provider of Client Lifecycle Management solutions for investment, corporate, and private banks, have announced a joint partnership to leverage their complementary technologies.
-
Blog
Superior Energy names chief accounting officer
Superior Energy Services, which serves national and independent oil and natural gas companies around the world, has named James Spexarth as chief accounting officer.