Articles | Compliance Week – Page 150
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What government contractors need to know about coronavirus-related excusable delays, defenses
Government contractors seeking guidance on how to minimize costly delays and disruptions during the coronavirus (while preserving their rights) can look to these tips from a recent Webinar.
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Regulatory slowdown due to coronavirus makes compliance role critical
The ongoing pandemic is limiting investigations into most types of white-collar crimes as federal enforcement agencies refocus their attention on coronavirus-related matters.
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Eni, SEC in ‘advanced discussions’ on corruption probe resolution
Italian oil company Eni said in a recent regulatory filing it is in “advanced discussions” regarding a resolution to an SEC probe into allegations of corruption for the award of certain contracts in Algeria.
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AICPA best practices for conducting remote audits in uncertain times
Auditors facing higher audit risks and new accounting and reporting issues as a result of the coronavirus pandemic and downturns in the economy have some new guidance from the AICPA.
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FRC sanctions KPMG, former senior partner for audit failings
The U.K. Financial Reporting Council has reprimanded and fined KPMG and one of its former senior partners for a failure to exercise “sufficient professional skepticism” and for failure to obtain “sufficient appropriate audit evidence.”
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SEC charges chief compliance officer in trading scheme
The SEC has filed a complaint against four individuals, including a former chief compliance officer, for conducting a fraudulent unauthorized trading scheme through retail customer accounts at their Commission-registered brokerage firm.
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Coronavirus will raise profile of compliance moving forward
The status of compliance practitioners has grown over the past decade, buoyed by changes in the regulatory space as well as record penalties for transgressions. It will become even more important in the wake of the coronavirus pandemic.
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SEC continues whistleblower award surge with $2M payout
The Securities and Exchange Commission announced the award of $2 million to a whistleblower—its fifth payout in the last 12 days. For the year, the SEC has already matched its 2019 total of eight awards.
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Lessons from Zoom: Coronavirus exposes videoconference risks
Stay-at-home orders during the coronavirus pandemic have led to explosions of use for popular videoconferencing platforms, some of which have struggled to adjust to new privacy concerns.
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Ask Amii coronavirus mailbag: How prepared can you be for the unknown?
In this special edition of the Ask Amii Mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn answers questions on tackling the uncharted territory of the coronavirus pandemic.
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SEC won’t delay Reg BI amid pandemic
The Securities and Exchange Commission has no plans to delay its controversial Regulation Best Interest rule despite the impact the ongoing coronavirus pandemic has had on U.S. markets.
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FASB to address coronavirus impact at April meeting
The Financial Accounting Standards Board announced its intent to meet April 8 and address standard-setting issues related to the ongoing coronavirus pandemic.
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Survey: Lessons from those who weren’t ready for coronavirus
Survey respondents who said their companies weren’t prepared for the coronavirus pandemic said they failed to recognize that the pandemic would morph from a far-away, supply chain disruption issue into a complete business shutdown at home.
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Harley-Davidson names chief compliance officer
Motorcycle manufacturer Harley-Davidson announced the promotion of Paul Krause to chief legal and compliance officer in a recent regulatory filing.
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Sempra Energy compliance chief resigns
Sempra Energy announced the resignation of President and Chief Legal Officer George Bilicic with “good reason.” Bilicic was also the company’s chief compliance officer.
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Global Data Consortium lauds rarity of compliance hire
ID verification firm Global Data Consortium announced the hiring of James Philip as chief compliance officer in a move it described as “not yet common practice in our industry.”
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Sally Beauty tabs chief accounting officer
Salon retailer Sally Beauty Holdings announced the appointment of Marlo Cormier as senior vice president - finance and chief accounting officer.
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Allianz Australia adds chief risk officer
Insurance group Allianz Australia announced the appointment of Tara Laybutt as chief risk officer.
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Coronavirus: The EPA’s greatest excuse, companies’ greatest test of ethics
As the Environmental Protection Agency abdicates its oversight responsibilities, pointing to the coronavirus pandemic, now is the time for true leaders to lead.
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InvenTrust appoints chief accounting officer
InvenTrust Properties, a real estate investment trust, announced Mike Phillips has been appointed senior vice president and chief accounting officer.