All Compliance Week articles in Web Issue – Page 528
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Blog
SOX pros say external audit costs increased in 2016
Big companies subject to SOX reporting said their external audit costs increased in 2016 as auditors continue to report pressure from PCAOB inspections.
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Blog
The U.K. election: Another fine mess
Theresa May was supposed to thrash Labour’s Jeremy Corbyn in the recent election and strengthen her mandate for the Brexit negotiations. She failed on both counts, making Brexit more complicated than before.
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Blog
Department of Justice seeks new compliance counsel
Legal and compliance professionals interested in joining the Department of Justice’s Fraud Section for the compliance counsel job have until June 27 to apply. The Fraud Section is on the lookout for a new compliance counsel to replace Hui Chen, the first person to ever assume the role.
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Article
Countdown to MiFID II: Europe’s stickiest red tape?
MiFID II is looming, and it’s not just European companies’ problem—it will affect U.S. firms as well. An in-depth look at the rule provides companies with a checklist to assess their readiness.
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Article
The Practical Ethicist: Behavior bordering on harassment
Tom Tropp addresses the fine line that separates harsh managerial behavior from outright harassment. Send your ethical dilemmas to practicalethicist@complianceweek.com.
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Blog
The Hartford names chief risk officer
The Hartford, a financial services company, has named Robert Paiano chief risk officer to lead the company’s enterprise risk management operations, effective July 1.
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Article
Auto industry choking on its own fumes
Volkswagen gets all the stick for being a problem child of the auto industry, but plenty of automakers have compliance issues of their own. A look at some key auto maker probes is inside.
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Blog
Some practical solutions to the problem of modern slavery
A series of case studies highlighted in a new report by the Interfaith Center on Corporate Responsibility provide some solutions to addressing the problem of modern slavery.
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Article
Five-year limit placed on SEC disgorgement penalties
The SEC must rethink how it collects billions of dollars through disgorgement now that the Supreme Court has imposed a five-year statute of limitations.
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Article
10 reasons to be wary of new auditor disclosure rules
New disclosures required by auditors don’t produce any direct new rules for the public firms they audit, but companies can expect at least 10 potentially serious consequences.
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ArticleDodd-Frank reforms prevail in House; now what?
The Financial CHOICE Act, a weapon of Dodd-Frank destruction, has advanced from the House of Representatives. Companies, regulators, and Congress now face the repercussions.
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Article
Decoding the data protection officer role under GDPR
As the European Union’s General Data Protection Regulation takes effect in May 2018, companies should begin thinking of hiring a data protection officer.
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Blog
British Airways learns a lesson on controls
The recent power failure at British Airways that stranded more than 75,000 holiday passengers is a reminder to companies of the importance of internal controls.
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Blog
Tip of the (compliance) hat to Hui Chen
A look at Hui Chen’s career at the Department of Justice, serving as the compliance counsel and, most importantly, putting the compliance function front and center in the fight against FCPA violations.
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Blog
Compliance and risk management as a competitive advantage
The Man From FCPA explores Amazon’s recent foray into banking that effectively demonstrates how the risk management aspect of compliance can be used as a competitive advantage.
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Blog
Grapevine: Who’s coming and going in compliance
Peruvian engineering and construction company Graña y Montero has appointed a new chief risk and compliance officer amid a bribery probe. Puma, Admiral Markets, and Triad Advisors also all have new compliance officers. Check out the CW Grapevine for the latest personnel moves.
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Blog
LPL names chief legal and risk officer
Retail investment advisory firm and independent broker-dealer LPL Financial, a wholly owned subsidiary of LPL Financial Holdings, has announced that Michelle Oroschakoff, current managing director and chief risk officer, will expand her responsibilities to include oversight of the firm’s legal and government relations functions as chief legal and risk officer, ...
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Blog
SEC charges brokerage firm with AML failures
The SEC has charged a Utah-based brokerage because it "routinely and systematically failed to file Suspicious Activity reports for stock transactions that it flagged as suspicious."
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Blog
SEC names co-directors for Enforcement Division
The SEC has announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named co-directors of the Enforcement Division.