Articles | Compliance Week – Page 188
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Spotify chief accounting officer resigns
Spotify Technology, a Swedish media-services provider, disclosed in a filing with the SEC that Luca Baratta will resign from his position as chief accounting officer.
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Uber, Lyft among companies trying to stymie California employment bill
As legislation that would classify many freelance workers as employees instead of contractors nears passage in California, a few companies that would be most impacted are trying to preserve the gig economy.
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Ex-KPMG leader atop 'chain of corruption' gets a year and a day in jail
A former KPMG leader was sentenced to one year and one day in federal prison and three years of supervised release for his role in a scheme to subvert the regulatory inspection process.
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Merrill Lynch to pay $300K for failing to ‘promptly’ produce audit trail data
Merrill Lynch must pay a $300,000 civil monetary penalty for failing to promptly produce to the CFTC certain required records and, separately, failing to supervise its employees and agents.
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PCAOB sanctions Marcum over auditor independence issues
The PCAOB has settled disciplinary actions with audit firm Marcum, an affiliated firm, and its former auditor independence leader over independence violations.
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Vestager keeps competition role in new Commission
Margrethe Vestager is staying put as Europe’s leader in the fight against anti-competitive practices, with a continued focus on Big Tech.
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Assent Compliance to expand to Amsterdam, Malaysia
Assent Compliance announced it is continuing its worldwide expansion with new regional hubs in Amsterdam, Netherlands, and Penang, Malaysia.
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WolfPAC, Maple Street partner on vendor management
WolfPAC Integrated Risk Management and Maple Street announced a partnership designed to provide clients an enhanced, full-service vendor management system.
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Compliance.ai to join WesPay
Compliance.ai announced it is joining WesPay’s 1,000 financial industry members.
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Deloitte, Workiva partner on financial reporting
Deloitte has announced an alliance with Workiva designed to improve financial and managerial reporting.
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States sue SEC over Reg BI
Seven states and the District of Columbia have filed a lawsuit against the SEC in an effort to block the regulator’s recently approved Regulation Best Interest rule package.
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SEC’s Clayton calls out dearth of global assistance in battling corruption
Is the SEC tired of being a global cop? In a speech Monday, SEC Chair Jay Clayton rallied against a “continuing lack of global commitment” to combatting offshore corruption.
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Kaseya launches dedicated compliance business unit
Kaseya, a provider of IT infrastructure management, announced a $10 million investment in its compliance business unit.
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U.K. Parliament closes amid Brexit uncertainty
Boris Johnson’s plans to split from Europe blew up in his face, resulting in one of the biggest false-starts any U.K. Prime Minister has endured. Not only is Brexit likely to be delayed, but Johnson and his government are now legally bound to seek a deal—or else.
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Amazon's Bezos among 51 CEOs calling for national data privacy law
CEOs from 51 different companies, including Amazon, Walmart, and Salesforce, have sent a letter to congressional leaders urging the passing of a comprehensive consumer data privacy law.
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James Comey to headline Compliance Week 2020 conference
Compliance Week is thrilled to announce the headline speaker for its 2020 National Conference in Washington D.C. will be FBI Director (2013-2017) and best-selling author James Comey.
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Risk alert: CCOs should examine policies around advisers’ adherence to disclosure rules
The SEC’s Office of Compliance Inspections and Examinations suggests a policy and procedure review for investment advisers for certain “principal trades” involving clients.
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Investors want more from banks on CECL, says FASB member
Investors want more information from leading banks over how financial statements will be affected by the adoption of the new CECL approach to credit losses.
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Google facing antitrust investigation by 50 attorneys general
Texas Attorney General Ken Paxton confirmed Monday that his office is leading an investigation by 50 attorneys general into technology giant Google for potential monopolistic business practices.
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FASB offers changes to ease reference rate transition
FASB is proposing guidance intended to ease the potential accounting burden companies expect to face as they navigate reference rate reform.