All Compliance Week articles in Web Issue – Page 542
-
Article
SEC renews its offensive against ‘fake news’
Fake news, in the eyes of the SEC, isn’t just a problem during election year. Over several decades, stock price manipulations have been predicated on rumors and hoaxes.
-
Blog
Top accountant provides blueprint for effective audit committees
From education to composition, the SEC's top accountant recently gave audit committees a primer on everything it takes to be effective in the job these days.
-
Blog
FINRA seeks feedback on capital formation rules
The Financial Industry Regulatory Authority has opened a public comment period on existing rules connected to capital formation. The effort is part of an ongoing self-assessment by the agency.
-
Blog
Raymond James to pay $150M to resolve fraud scheme
Raymond James Financial has reached a $150 million settlement to resolve all investor claims that the firm stole and misused millions of dollars raised through investments solicited under the federal EB-5 visa program.
-
Blog
Compliance expertise on the board of directors
The recent corporate scandal at Wells Fargo highlights the need for boards of directors to have a committee devoted to compliance.
-
Blog
Whistleblowers at KPMG and Barclays—a contrast in style
The recent termination of six KPMG employees for receiving (and failing to report) improper advance information of PCAOB audits stands in stark contrast to actions taken after someone blew the whistle at Barclays Bank. A look at their responses is inside.
-
Blog
MediaPro launches GDPR Privacy Awareness Solution
MediaPro recently launched its General Data Protection Regulation (GDPR) Privacy Awareness Solution, designed to help companies comply with one of the most significant data privacy regulatory updates in recent years.
-
Blog
CFPB will update mortgage data rule
The CFPB will update its 2015 Home Mortgage Disclosure Act rule. Changes are meant to clarify the rule's data collection and reporting requirements, assisting firms that have faced confusion as they ramp up compliance.
-
Blog
SEC adopts slate of JOBS Act amendments
The SEC has announced ammendments to JOBS Act-related rulemaking pertaining to crowdfunding, securities offerings, and emerging growth companies. The changes adjust certain thresholds for inflation.
-
Blog
Conifer Health Solutions names chief compliance officer
Conifer Health Solutions has appointed Daniel Feldman as senior vice president and chief compliance officer. In this role, Feldman assumes responsibility for managing Conifer Health’s enterprise-wide ethics and compliance program.
-
Blog
Is KPMG getting tainted audit inspection results?
The inspection information leak that led to dismissals at KPMG and the PCAOB raises big questions about how to assure fair and transparent inspection results for all Big 4 firms.
-
Blog
Senators demand answers from United Airlines
Following an incident where a passenger was dragged off a flight to accommodate employees, Senate Democrats are demanding that the CEO of United Airlines answer questions about the incident and company policies.
-
Blog
Trump Administration’s regulatory rollback attracts lawsuits
In response to its plans for a massive regulatory rollback, the Trump Administration is defending itself against a growing number of lawsuits from both activist groups and state officials.
-
Blog
Democrats defend CFPB’s constitutionality in legal brief
As CFPB critics escalate a legal battle focused on ithe agency’s constitutionality, a coalition of current and former Senate Democrats is fighting back with a legal filing of their own.
-
Blog
Latest batch of Trump nominations includes new ‘regulatory czar’
The latest nominations announced by President Trump include a pick to be the administration’s new “regulatory czar,” the administrator of the Office of Information and Regulatory Affairs.
-
Resource
Outsourcing Transparency Evolution: Creating value across the extended enterprise
In this report, we explore how information transparency can increase the value of outsourcing relationships across the extended enterprise. We also outline a three-step process to help improve communication for service providers and their customers to better manage outsourcing risk and enhance competitive advantage for both sides.
-
Blog
KPMG, PCAOB dismiss personnel over inspection leak
Heads are rolling at both KPMG and the PCAOB over an information leak that gave KPMG auditors a leg up heading into its annual regulatory inspections.
-
Blog
OCC names senior vice president, enterprise risk management
OCC, the world’s largest equity derivatives clearing organization, has appointed David Ridgway, a former senior risk management executive with BNY Mellon, as senior vice president, enterprise risk management.
-
Article
How you reimburse mobile workers could put you at risk for a lawsuit
Regulatory trends and potential lawsuits demand that employers come up with a better way of reimbursing their mobile workers exactly what is owed and proving what was paid.
-
ArticleWays companies can ease the pain of pay ratio calculations
Despite a controversial reconsideration of the SEC’s pay ratio rule, its disclosure requirements went into effect on Jan. 1. We talk to compensation expert Steve Seelig of Willis Towers Watson, about how companies, and the Commission, can make the requirements more palatable.