All Compliance Week articles in Web Issue – Page 992
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Blog
SEC releases first fee rate advisory for FY 2018
The SEC has announced the new rate for fees that public companies and other issuers pay to register their securities. The rate, for fiscal year 2018, is $124.50 per million dollars.
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Blog
FinCEN escalates crackdown on shell companies
The Financial Crimes Enforcement Network has expanded efforts to require that title insurance companies identify the true owners behind shell companies used to pay for high-end real estate.
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Is audit quality essentially a people problem?
Where there are problems with audit quality, it appears to be more of a problem with people than with institutional approaches to audit work.
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AxiomSL launches regulatory education program for asset managers, broker-dealers
AxiomSL, a global provider of regulatory reporting, risk, and data management solutions, recently announced the launch of a program designed to assist asset management firms and broker-dealers clarify issues related to the shifting regulatory environment.
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Hurricane Harvey Relief Fund
In support of our readers, subscribers, and friends affected by Hurricane Harvey in Texas, Compliance Week is making a donation to Global Giving’s Harvey Relief Fund. We encourage everyone in the compliance community to find a way to support Texas in its time of need. Let’s show the world how ...
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Formula One Group faces fraud probe by SFO
The Formula One Group has confirmed that the U.K. Serious Fraud Office is in its “pre-investigation” stage concerning fraud allegations made against it by a U.K. member of Parliament.
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Will Uber change its toxic culture?
The Man From FCPA explores what the future has in store for Uber Technologies under new chief executive Dara Khosrowshahi.
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Preparing for compliance
One lsson learned from Hurricane Harvey applies to today’s compliance professional: You must do more than prepare for a compliance emergency by preparing beforehand, but you must also practice that preparedness.
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What are the effects of C-Suite involvement in bribery and corruption?
A look at the corruption cases of Samsung and Panalpina and the outcome from when C-Suite becomes involved in corporate bribery and corruption schemes.
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FASB finalizes new approach to hedge accounting
The FASB has issued its long-awaited standard to simplify hedge accounting, allowing companies to adopt the new approach almost immediately if they choose.
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Blog
Aircastle Limited appoints chief accounting officer
Aircastle Limited, a global company that acquires and leases commercial jet aircraft, has appointed Jay Maronilla as chief accounting officer.
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Article
3M’s John Ostergren on supply chain, third-party risk management
Smart companies understand which risks to take on in the interest of growth and which ones must be shunned, says John Ostergren, director of environment, health and safety at 3M.
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When bad behavior builds profitability
Yes, big companies often get away with murder and see profitability roll in as scandals recede. That doesn’t mean ethics and compliance efforts are any less important.
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Operation Choke Point finally suffocated by Justice Department
A controversial government initiative that pushed banks to de-risk themselves from a variety of legal business is now a thing of the past. Or is it?
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Pushback rises on disclosure of auditor, audit committee talks
Despite calls for transparency around the interaction between audit committees and auditors, angst runs deep about giving investors visibility into that dialogue.
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Good controls are good business
A recent SEC case highlights five key ways in which strict compliance procedures still pay off for brokerage firms when it comes to detecting and preventing fraud.
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A step-by-step guide to getting a money transmitter license in California
Money transmitters must be licensed in virtually every state in the U.S. Here is a handy checklist to ensure you are in compliance with California’s licensing requirements.
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The law is taking a bite out of the Gig Economy
A spate of recent court decisions underscores the ongoing erosion of the Gig Economy’s model of independent contractors free from benefits, protections, or obligations.
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Blog
Hurricane Harvey spurs regulatory relief, assistance for banks
Federal and state bank regulators have issued guidance for institutions in Texas suffering from the devastating effects of Hurricane Harvey. The advisory addresses temporary branches, loan modifications, and leniency regarding regulatory obligations and compliance deadlines.
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Yellen pushes back on deregulation with rousing defense of post-crisis rules
Amid the current political hunger for deregulation, Janet Yellen, chairman of the Board of Governors of the Federal Reserve, recently delivered an impassioned defense of the current regulatory environment. Don’t drop the ball now, she warned.