All Compliance Week articles in Web Issue – Page 517
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Blog
Waters’ bill seeks to improve SEC waiver process
Congresswoman Maxine Waters has introduced a bill intended to ensure a fair and public process for waiving automatic disqualification provisions. The issue of waivers is a longstanding one for the Commission.
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Blog
Bipartisan bill targets human trafficking, critics fear for online free speech
The Senate is debating bipartisan legislation intended to protect women and young girls from modern-day slavery. The plan has some concerned about online freedom of speech.
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Blog
War over CFPB escalates with legal threats and arbitration demands
While complaints about the CFPB’s recent rule banning the use of mandatory arbitration clauses pile up, Director Richard Cordray is also facing additional challenges to his authority.
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Blog
OCC cracks open Volcker rule, seeks public comment
The latest effort to revise the Dodd-Frank Act’s Volcker rule is a public comment period, orchestrated by The Office of the Comptroller of the Currency, that may lead to a multi-agency Notice of Proposed Rulemaking.
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Blog
Newest poll gives more evidence of heartburn over leasing
Half way from publication to adoption of new lease accounting rules, C-suite executives are worried about whether implementation will get done on time.
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Blog
How Hui Chen prompted an evolution in compliance at the DoJ
Hui Chen’s time as compliance counsel at the DoJ’s Fraud Section was short and eventful and did a lot to move the needle on how the DoJ views corporate compliance programs.
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ArticleCompanies clearly favor modified adoption of revenue rule
Investors would like to see full historic numbers under the new revenue rules, but companies clearly are planning to give them less. How will they bridge the gap?
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Article
Biometrics, cash, and the end of money laundering as we know it?
As the technology to facilitate cashless transactions becomes more widespread, it can play an important role in know-your-customer and anti-money laundering efforts.
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Article
Keys to a better whistleblower program
Organisations with robust speak-up programs can address compliance problems pre-emptively, but building such programs can be tricky. Here are 12 tips how.
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Article
GDPR compliance is lagging
A survey says many firms are nowhere near ready to comply with the new EU data privacy standard. CCOs should consider people, processes, technology, and data when building a GDPR solution.
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Article
Is the European Union out to get Google?
While it might seem as if the European Union has it in for Google, a search of its open cases will reveal that it has its sights set on more than just the search engine firm.
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Article
Rhetoric begins to shift to regulatory easing
While members of the Trump Administration wave off persistent critics, rule changes are starting to take root, notably for the Volcker rule.
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Article
SEC’s consolidated audit trail at risk again, this time by funding
Developed as a database to monitor markets and prevent flash crashes, the SEC’s consolidated audit trail has a big, new roadblock.
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Blog
SEC seeks comment on PCAOB’s ‘critical audit matter’ rule
Companies with any lingering worries about the impending effects of a new audit report have one last opportunity to appeal for change.
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Blog
Netherlands, not Bermuda, is the tax evasion capital of the world
The Netherlands, the U.K., Ireland, Singapore, and Switzerland are the world's leading conduit offshore financial centres, funnelling money from one point to another for the purposes of tax evasion.
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Blog
Financial Conduct Authority seeks views on AML supervision
The Financial Conduct Authority has launched a consultation regarding the government-proposed Office for Professional Body AML Supervision, which sets out draft expectations about how professional body supervisors can meet their AML supervision obligations.
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Blog
Auto loans are the latest headache for embattled Wells Fargo
Wells Fargo will pay millions to resolve issues with its auto loan customers who were harmed due to issues related to collateral protection insurance policies.
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Blog
Net1: Department of Justice closed FCPA probe
Net1 UEPS Technologies, a Johannesburg, South Africa-based provider of alternative payment systems, last week received a letter from the Criminal Division's Fraud Section of the U.S. Department of Justice advising the company that it has closed its investigation concerning possible violations of the Foreign Corrupt Practices Act.
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Blog
SEC awards more than $1.7M to whistleblower
The SEC last week announced a whistleblower award of more than $1.7 million to a company insider who it said provided the agency with critical information to help stop a fraud that would have otherwise been difficult to detect.
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Blog
Halliburton settles FCPA case for $29.2M
Oil field services giant Halliburton today reached a $29.2 million settlement with the SEC over charges that it violated the books and records and internal accounting controls provisions of the Foreign Corrupt Practices Act concerning payments tied to Angola.