All Compliance Week articles in Web Issue – Page 568
-
Resource
ERM: Understanding the risks, realizing the opportunities
Title: ERM: Understanding the risks, This e-book also explores other areas of risk management, such as COSO’s Fraud Risk Management Guide, the case for why audit committees and compliance officers would be wise to consider it, and the inefficiencies they may be losing out on if they don’t. No matter ...
-
Blog
Tower MSA Partners names chief compliance officer
Tower MSA Partners, which provides Medicare Secondary Compliance services and Medicare Set-Asides in workers’ compensation and liability, has appointed Dan Anders to the newly created position of chief compliance officer.
-
Blog
OCC names new chief compliance officer
OCC, the world’s largest equity derivatives clearing organization, has promoted Joe Adamczyk to senior vice president and chief compliance officer, replacing Richard Wallace.
-
Blog
CEI offers roadmap for congressional deregulation efforts
Add more ammo to the pile for republicans embracing deregulation during the Trump Administration. The Competitive Enterprise Institute is out with a comprehensive list of rule-paring recommendations. Joe Mont has more.
-
Blog
Shark bites shark: Publicly-traded law firm on receiving end of securities class action
Bruce Carton reports on the case of Slater & Gordon and how professional courtesy couldn’t keep rival plaintiffs’ law firms from filing a securities class action against the struggling law firm.
-
Blog
SEC enforcement director Ceresney to depart agency this month
The SEC announced today that Enforcement Director Andrew J. Ceresney will leave the agency by the end of this month. Ceresney has served as Enforcement Director (or Co-Director) since joining the SEC in April 2013. Deputy Director Stephanie Avakian will serve as Acting Director upon Ceresney’s departure,.
-
Blog
2016 PCAOB inspection results will deliver mixed results
When 2016 inspection results are published on the major audit firms next year, they will show an overall reduction in adverse findings, but also a spike in findings for at least one Big 4 firm. Tammy Whitehouse has more.
-
Resource
RSA Archer Risk Intelligence Index
In October 2015, RSA completed a global survey of almost 400 organizations to gather insight into current trends and perceptions regarding Risk Management. The survey utilized RSA’s proprietary Risk Intelligence Index to ask questions around key areas of risk and how organizations are addressing the changing risk landscape. The Risk ...
-
Blog
SEC shifts non-GAAP focus to most serious violations
Tension continues over proper use, especially prominence, of non-GAAP accounting measures, but the focus seems to be shifting to the most egregious violations.
-
Blog
Under the FCPA, 'anything of value' means precisely that
A recent U.S. Supreme Court decision makes it very clear that when it comes to issues of potential bribery, absolutely anything that could be considered as having value is fair game as a potential agent of corruption. Tom Fox reports.
-
Resource
Vendor Risk Management: Conducting Pre-Contract Due Diligence in a Digitally Connected World
Today’s global, digital economy opens up a world of opportunities—and a whole new world of risk exposure. When important parts of your business can be fulfilled anywhere, risks may be everywhere.
-
Blog
FASB plans pause before digging into big new rules
After issuing some huge changes to accounting standards, FASB will keep the current work load or corporate accounting offices in mind before taking on big new projects.
-
Article
Governance compliance on the rise, but more is not always better
Compliance and reporting are on the rise, but so is the amount of material used as documentation. Is quality getting mired by quantity? Paul Hodgson reports.
-
Article
Fostering an ethical culture with training
Culture is the holy grail of ethics and compliance programs, but it’s also the one area that ethics and compliance officers struggle with the most. Jaclyn Jaeger explores today’s innovative solutions inside.
-
Article
Former Southwest CEO: Harnessing an ethical culture
During a keynote address at a recent NAVEX conference, Howard Putnam, former CEO of Southwest Airlines and Braniff International Airways, spoke candidly about harnessing the business value of an ethical culture. Jaclyn Jaeger has more.
-
Blog
SEC passes on relief for adopting revenue, then accessing capital
Companies adopting the new revenue recognition standard and accessing capital markets soon afterward are getting no clear pass on the extra reporting requirements.
-
ArticleMy Compliance Library: Is it time for an incentive mine sweep?
Richard Bistrong and Marc Hodak discuss pay-for-performance and its role in corporate ethics and compliance policies.
-
Blog
KPMG's latest inspection shows more modest improvement
KPMG's newest PCAOB inspection report shows another modest improvement in audit errors, although no one is yet jumping for joy over deficiency findings.
-
Article
Are pharma firms set for increased scrutiny?
How pharmaceutical firms price their products is getting a lot of additional attention in the United Kingdom and United States. Neil Hodge reports.
-
ArticleTalking to ‘The Infiltrator’ about AML
Joe Mont talks to Robert Mazur, the undercover agent portrayed in the movie The Infiltrator, and Bill Sweeney, financial services evangelist at BAE Systems Applied Intelligence, about the shadowy underworld of money laundering.