Articles | Compliance Week – Page 175
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SEC appoints chief counsel for the Division of Economic and Risk Analysis
The Securities and Exchange Commission has named Marie-Louise Huth as chief counsel for the Division of Economic and Risk Analysis.
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Privacy warfare: Competitors, consumers pose new risks
With a new wave of privacy laws empowering consumers to police their own data, companies are facing increased risk in areas they might not have considered.
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Regulators sympathetic to GDPR growing pains but expect maturity
Officials from a pair of EU data privacy sanctioning bodies stressed importance of data protection officers and good-faith efforts to comply with GDPR.
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Ireland vs. Big Tech: The wait continues
It’s been 18 months since the General Data Protection Regulation went into effect, and still no violations have come out of Ireland. Is the Emerald Isle dragging its feet? CW Editor in Chief Dave Lefort attempts to answer that question.
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Report: Investor confidence in audit committees high; more transparency needed
The 2019 Audit Committee Transparency Barometer indicated investor confidence in audit committee effectiveness was strong (81 percent) and had increased 10 percentage points since the first report was issued in 2014.
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SEC sees slight decrease in number of whistleblower tips fielded
The Securities and Exchange Commission, in its annual report to Congress, indicated it fielded 5,212 whistleblower tips in fiscal year 2019, down 1 percent from the record of 5,282 in FY2018.
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Survey: Compliance struggles to keep pace with mobile, social tech in workplace
A new survey shows the use of personal devices and contemporary communication platforms are par for the course in work settings; yet 45 percent of firms feel they are incessantly behind the eight-ball when it comes to managing electronic message compliance.
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Data-driven compliance can create business success
Smart uses of data analytics show companies can not only improve their compliance programs with technology, but actually create bottom-line results for their companies as well.
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Best practices for choosing the right data privacy software
Don’t expect a plug-and-play technology solution to this complex new problem.
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Microsoft updates cloud contract privacy amid EDPS probe
Microsoft has updated the privacy provisions of its commercial cloud contracts amid a European Data Protection Supervisor investigation that revealed “serious concerns” in its preliminary findings.
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Itiviti, Capital Market Solutions partner on SEC rule
Itiviti announced a partnership with Capital Market Solutions to provide a complete regulatory reporting solution for SEC Rule 613 (Consolidated Audit Trail).
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What FASB’s recent updates might mean for you
The Financial Accounting Standards Board has issued updates to its standards on hedging and share-based payments and is offering guidance on reference rate reform.
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U.S. trending up in new TRACE matrix bribery report
The latest edition of TRACE International’s annual Bribery Risk Matrix shows many of the same countries named in last year’s report are still struggling with business-related bribery risk. One country on the rise: the United States.
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NHTSA probing Tesla for defects that cause battery fires
The National Highway Traffic Safety Administration has launched an investigation into electric-car company Tesla over potential battery defects that allegedly cause its vehicles to suddenly burst into flames.
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Proactive approach needed in today’s cyber-crime environment
An expert sheds light on behavioral science-driven solutions that help businesses prepare for a breach before it happens.
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Cyber-security glossary
For those unfamiliar with the vernacular involved with cyber-security and the methods by which bad actors attempt to access restricted data, we present this glossary of common terms.
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Special report: Maturing in your technology journey
Results of Compliance Week’s second annual technology survey suggest companies are moving along the technological maturity curve in ways that are both quantitative and qualitative compared to last year.
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SEC’s Clayton pushes modernization at UPenn speech
Touting the SEC’s recent accomplishments, Chairman Jay Clayton maintains modernization helps advance the regulator’s “tripartite mission” and gives some hints about next year’s agenda.
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Hearsay Systems launches consulting service
Hearsay Systems announced the launch of a new consulting practice to help financial services organizations adhere to industry regulations and implement modern technologies.
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Sutter Health pays $30M in lawsuit
Healthcare services provider Sutter Health will pay $30.5 million in a lawsuit filed by a former compliance officer alleging fraud and kickbacks, though Sutter did not admit laibility and points out there was no finding that Sutter violated anti-kickback laws.