All Compliance Week articles in Web Issue – Page 9
View all stories from this issue.
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ArticleFormer KPMG co-lead pleads guilty in inspections scandal
Former KPMG partner David Britt pleaded guilty to one count of conspiracy to commit wire fraud as the fallout from the cheating scandal that has plagued the firm for nearly two years appears to be nearing its conclusion.
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Article
Upcoming regulatory events: SEC, DOJ, FASB, and more
Fall is a busy time for regulators across the compliance landscape. Take note of upcoming events, plus some early conference registration news.
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Article
DOJ contests Eni’s statement concerning corruption case
Calling Eni’s statement “misleading,” the Department of Justice wants to make it clear its corruption inquiry into the Italian oil company was not closed for lack of evidence.
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Webcast
Webcast: Following the money to prevent human trafficking
This webcast will help compliance executives explore the latest research and practical insights on how to manage human trafficking and manage third-party risks.
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Resource
e-Book: FCPA: More Crumble Under Revised DOJ Policy
Violations of anti-corruption laws can have devasting consequences for any company across any industry, if not managed appropriately—including significant fines, reputational damage, and litigation that can span several years—all of which create disruption to business operations.
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Article
Survey: Compliance execs like AI, but not confident they can harness it
Compliance and procurement leaders see the value in using artificial intelligence, but far too many aren’t confident they have the right skills in place to use it, according to a new report from Dun Bradstreet.
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Article
Bill requiring shell companies to disclose ownership introduced in Senate
Aimed at fighting money laundering, newly proposed legislation looks to mandate full transparency from shell companies on ownership and also fosters greater communication between financial institutions and law enforcement agencies.
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Article
Blockchain company to pay $24M for unregistered ICO
Block.one has agreed to settle charges with the SEC and pay a $24 million civil penalty for conducting an unregistered initial coin offering of digital tokens that raised the equivalent of several billion dollars.
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Article
Survey: Companies believe they've underinvested in TPRM
A new survey published by Deloitte highlights the latest trends—both opportunities and challenges—in companies’ journey toward a more mature extended enterprise risk management program, one in which third-party risk management is integrated across the firm and led from the top.
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Article
CFPB adds new executives
The Consumer Financial Protection Bureau recently announced several new additions to its executive team, including the appointment of Bryan Schneider as associate director in the Supervision, Enforcement and Fair Lending Division.
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Article
Oversight Systems expands audit and risk management offering
Employee spend management platform Oversight Systems announced the launch of its new General Ledger module.
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Article
Continuity acquires TraceRisk
Continuity, a compliance management systems provider for financial services organizations, announced the acquisition of cloud-based enterprise risk management solutions firm TraceRisk.
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Article
Whistleblower awarded $7M for ‘limited assistance’
A whistleblower who provided the Commodity Futures Trading Commission with “limited assistance” about misconduct that prompted an investigation was still awarded $7 million, the agency announced.
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Article
Study: Small firms more likely to report ineffective ICFR
A recent study from Audit Analytics that analyzed SOX 404 disclosures in the past 15 years reveals some interesting trends surrounding large and small companies’ internal control over financial reporting.
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Article
FRC investigates EY over Thomas Cook’s books
The U.K. Financial Reporting Council is investigating EY over the audit work it carried out at travel firm Thomas Cook, which recently declared bankruptcy.
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Article
SEC modernizes rules on exchange-traded funds
Despite an effective date about a year out, regulated entities still need to make some decisions now about policies and procedures if they are relying on a new regulation applying to exchange-traded funds.
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Article
Compliance lessons from Quad/Graphics’ $10M FCPA settlement
Quad/Graphics will pay $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act by engaging in widespread bribery schemes in Peru and China, but the compliance lessons are priceless.
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Article
Compliance takeaways from Barclays’ $6.3M FCPA settlement
Barclays joins a growing list of financial institutions to pay a penalty for violations of the books and records and internal accounting controls provisions of the FCPA due to questionable hiring practices.
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Webcast
Webcast: Managing cookies for GDPR, CCPA compliance
As consumers’ awareness of the use of cookies and similar tracking technologies has begun to soar, global lawmakers and regulators have taken a keen interest in how companies are using website and mobile tracking – particularly in the area of consent. This has evidenced itself through enforcement actions, new EU ...
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Article
SEC reaches settlements with 17 advisory firms over disclosure failures
The SEC on Monday announced settled charges against 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices.
