All Compliance Week articles in Web Issue – Page 619
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Resource
Conducting Pre-Contract Vendor Due Diligence
In ProcessUnity’s new whitepaper, you will learn how to get it right from the start, using pre-contract due diligence to intercept risks before they become problems.
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Blog
BDO Consulting expands financial services advisory
BDO Consulting, a division of professional services firm BDO USA, has appointed Gary Swiman as head of regulatory and compliance consulting for its financial services advisory practice.
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Blog
Tipalti SuiteApp achieves ‘Built For NetSuite’ status
Tipalti, a supplier of payments automation solutions, announced that its Tipalti SuiteApp has achieved ‘Built for NetSuite’ status. The new SuiteApp, built using NetSuite’s SuiteCloud Platform, integrates with NetSuite OneWorld to provide one unified accounts payable automation solution, helping finance departments streamline their entire global supplier payment operation.
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Blog
IntelliChief Analytics offers workflow visibility
IntelliChief, a provider of automated document management and workflow enterprise content management (ECM) solutions, has launched IntelliChief Analytics, a multicultural/multilingual-supporting business intelligence platform enabling complete visibility to live documentation in IntelliChief ECM.
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Blog
Axioma expands Asia footprint with Japan office
Axioma, a provider of innovative risk management and portfolio construction solutions to financial institution, recently announced the launch of its Japan office and the appointment of Kiichi Takai as senior consultant for their multi-asset class risk division. Takai will be based in Tokyo.
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Realizing the Value of Compliance Through Greater Effectiveness, Efficiency, and Sustainability
Organizations today are challenged to address a confluence of regulatory and business changes that are putting new demands on compliance. For some organizations, compliance costs and inherent risks have dictated significant changes in product offerings and business operations. Compliance should be integrated across the business to be best positioned to ...
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Article
Banks face continuing parade of new regulations
Even as aftershocks of the Financial Crisis fade, banks continue to face a steady stream of new and evolving regulatory demands. Recent days have been no exception, says Joe Mont, with new demands regarding liquidity, swaps contracts, and a plan to undo the United States’ “see no evil” approach to ...
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Blog
Study asserts companies shop for internal control audit opinions
Audit opinion shopping—a not-uncommon practice believed to have been cut down in the post-Sarbanes-Oxley era—remains live and well in capital markets, and it’s most pervasive in the presence of competition among auditors, according to research from the American Accounting Association. More from Tammy Whitehouse.
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Blog
Pros vs. Joes: SEC enforcement headlines edition
Yesterday, however, the UK's Daily Mail weighed in on the SEC's recent Stephen Ferrone case with a headline that shows the difference between pros like itself and the rest of us average Joes in the "click economy."
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BlogHave your say on the new Sustainability Reporting Standards
Stakeholders have 90 days from 19 April to comment on the initial set of six GRI Sustainability Reporting Standards to the Global Sustainability Standards Board, which has been commissioned to develop and approve the rules. The new standards cover subjects and disclosures from earlier guidance in G4, but will be ...
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Blog
SEC wraps up remaining JOBS Act workload
On Tuesday, the SEC, completing its remaining workload on JOBS Act mandates, approved amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) and 15(d) of the Securities Exchange Act. Joe Mont has more.
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Blog
Wyeth and Pfizer to pay $784.6 million in False Claims Act case
Wyeth and Pfizer last week reached a $784.6 million settlement with the Department of Justice to resolve allegations that Wyeth knowingly reported to the government false and fraudulent prices on two of its drugs.
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Blog
Internal audit: an unlikely driver for corporate culture
As regulators such as FINRA increasingly view culture as a factor when determining wrongdoing and punishment, building a strong culture is taking center stage. Jose Tabuena reports.
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Blog
Deutsche Bank and the continuing costs of money laundering risks
Deutsche Bank demonstrates that the costs of continuing to fail to meet regulatory requirements regarding anti-money laundering can be astronomical. Tom Fox looks at the Financial Conduct Authority’s Deutsche Bank investigation and what it means for the financial firm’s future.
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Article
Firms face after-shocks of Labor Department’s fiduciary rule
The Department of Labor’s fiduciary rule for investment advisors has already stirred a firestorm of controversy, but one way or another, says Joe Mont, the financial advisory world is looking at a transformational change in how it operates by next April, with such high stakes that no one may want ...
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Article
New gold standard for ethics and compliance programs
A first-of-its-kind report issued by the Ethics and Compliance Initiative aims to to provide ethics and compliance officers with a new gold standard for which to develop a high-quality ethics and compliance program. Jaclyn Jaeger looks at five core principles identified in the report.
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Article
The relentless growth of non-GAAP reporting is a problem
The use of non-GAAP reporting has ebbed and flowed over the years, but a recent increase in the practice is starting to raise questions as to whether or not the SEC will have to get involved before things get out of hand. Tammy Whitehouse reports.
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Article
Experts talk on boosting hotline effectiveness
A recent hotline analysis from NAVEX Global has identified ways in which companies could improve their helpline programs, including shortening the median case closure time. Karen Kroll provides an in-depth look at the results.