All Compliance Week articles in Web Issue – Page 486
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Blog
Putting a human face on the internal reporting process
Some lessons from two infamous whistleblowers: Daniel Ellsberg, who was responsible for the Pentagon Papers, and Wendy Addison, who spoke recently about her experiences in bringing to light fraud and corruption in LeisureNet Ltd. back in 2000.
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Blog
Is the FIFA brand toxic?
FIFA continues to present lessons for the compliance practitioner, and this one is straight-forward: if your organization is corrupt, other companies may well not want to do business with you going forward.
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Blog
Compliance in an economic downturn
In an economic downturn, there are two increasing compliance risks for companies that could make them in conflict with the 2012 FCPA enforcement guidance: (1) They eliminate compliance personnel in a cost-cutting attempt; (2) They neglect to invest monies needed to enhance monitoring or other mechanisms.
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Blog
Mapping your internal compliance controls
By mapping out the internal controls your company has in place to the indicia of the FCPA Enforcement Guidance’s Ten Hallmarks of an Effective Compliance Program and the 2013 COSO Internal Controls Framework, your company can ascertain what it has and what needs to be implemented.
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Blog
Marsh & McLennan Companies chief accounting officer to retire
Marsh & McLennan Companies, a global professional services firm, announced the appointment of Stacy Mills as vice president and controller, effective Jan. 1, 2018. In this role, Mills will serve as chief accounting officer and report to Chief Financial Officer Mark McGivney.
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Blog
KeyCorp chief risk officer to retire in 2018
Financial services company KeyCorp announced that Chief Risk Officer Bill Hartmann will retire in 2018. Filling this role will be Mark Midkiff, who will join the company on Jan. 22, 2018.
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Blog
Battle lines solidify ahead of ‘net neutrality’ vote
Amid still-growing controversy, the Federal Communications Commission is readying itself for a ‘public’ hearing on one of the most controversial topics it has ever weighed in on: “net neutrality.”
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Blog
Tax reform deal will set reporting scramble in motion
With a tax reform package all but complete, experts are alerting companies to get their tax records in order to prepare for a flurry of year-end transition activity.
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Blog
CFTC issues guidance on CTA registration requirements under MiFID II
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight this week issued interpretative guidance, clarifying commodity trading advisor registration requirements resulting from the European Union’s MiFID II research compensation provisions for investment managers.
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Blog
Announcing the FINRA Institute at Georgetown
The Financial Industry Regulatory Authority and Georgetown University’s McDonough School of Business have announced a partnership to deliver the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional(CRCP) Program in Washington, DC.
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Blog
SEC appoints all new board to lead PCAOB in 2018
The SEC is cleaning house at the Public Company Accounting Oversight Board, appointing five new board members to take over the reins beginning in January.
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Blog
Atea Denmark attains ISO 37001 certification
Atea Denmark, a supplier of IT infrastructure and system integration in the Nordic and Baltic regions, has become the first organization in Denmark to attain the highest international anti-bribery certification, ISO 37001 – Anti-bribery management systems.
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Blog
Kraft Heinz names general counsel and corporate secretary
Food and beverage giant Kraft Heinz has named Rashida La Lande as its new global general counsel and corporate secretary, effective in mid-January 2018.
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Blog
Delayed inspection reports will show plateau in audit improvements
When reports begin to emerge on the latest inspection findings for the major audit firms, they will show no broad, appreciable improvements over the prior year.
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Article
ENRC and legal privilege
Back in May, in a landmark decision, the Serious Fraud Office won the right to gain access to documents that a Kazakh mining company claimed were protected by professional privilege. Now that company has won the right to appeal.
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ArticleCompliance salary report shows budget, experience matter
Chief compliance officers wondering how their annual salaries stack up against their peers will want to check out a new salary benchmark report published by the Society of Corporate Compliance and Ethics and the Health Care Compliance Association.
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Resource
File Sharing and Collaboration Leads to Security Gaps in Financial Services Firms
Despite strict security policies, and high scrutiny from regulators, most financial services institutions reported they had experienced a breach of business files. The culprits varied, but at the heart of many of these breaches was inadequate means for sharing files.
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Article
Time runs out on getting ready for new revenue recognition
With little time remaining to prepare for a wholesale change to revenue recognition, accounting leaders share some final insights to help companies wrap it up.
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Article
Going back to basics with whistleblowers
On a fundamental level, people want to know that they are being taken seriously, which is why it is so important that whistleblower policies work in practice, and not just on paper.
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Article
Know Your Customer vs. Know Your Intermediary
While most companies are familiar with KYC programs, they might not have knowledge of “Know Your Intermediary.” Inside are five steps for getting to know your intermediaries.