Articles | Compliance Week – Page 205
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Refinitiv to expand KYC solutions into wealth management
Refinitiv announced the planned expansion of its suite of financial crime solutions into the wealth management industry.
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New bill seeks to end regulatory stalemate with China
Bipartisan legislation proposes to increase oversight on China-based companies listed on U.S. exchanges and delist those that fail to comply in three years.
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IBE produces AI guidance for boards
The U.K. Institute of Business Ethics is offering a new guide for companies faced with the ethical challenges of artificial intelligence.
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Privacy groups launch GDPR complaints
European privacy rights groups have launched a campaign to stop social media platforms and internet search engines from “spying” on users through online advertising by filing GDPR complaints with nine EU data regulators.
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PCAOB disciplines former Big Four auditors
The PCAOB has disciplined two former Big Four auditors—one over an audit of internal control and the other over inspection issues.
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Ask Amii mailbag: How to break bad news to important people
In this edition of our compliance advice column, Amii Barnard-Bahn lays out four guidelines for tough conversations, and a guest expert weighs in on what to do if someone’s holding your data hostage.
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SEC finally prevails with investment advice ‘best interest’ rule
The Securities and Exchange Commission has adopted rulemaking intended to enhance the quality and transparency of investor relationships with investment advisers and broker-dealers.
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SEC takes questions on knock-on effects of new lease rules
SEC staff members met with the Center for Audit Quality’s SEC Regulations Committee to acknowledge concerns and answer questions associated with new lease accounting rules.
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‘Context’ matters in AI decision making, says ICO
Transparency for all AI-generated decisions is not as important as context, according to new research from U.K. data regulator the Information Commissioner’s Office.
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Optiv enhances new Cyber-as-a-Service platform
Optiv Security announced Cloud Threat Monitoring and Compliance as-a-Service as the newest offering in its recently revealed Cyber-as-a-Service platform.
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Policy change previewed by DOJ a tip of the cap to compliance
A change to the DOJ’s leniency program could be good news for companies that can demonstrate an effective compliance program.
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How to handle an unpredictable CEO like Elon Musk
There are activist CEOs and rogue CEOs. And then there’s Elon Musk, whose name came up quite often in a Compliance Week panel discussion about what to do when a leader goes off the rails.
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PCAOB to auditors: better document independence issues
The Public Company Accounting Oversight Board issued guidance to auditors to explain how they should handle communication with audit committees under Rule 3526.
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Google probe a sign U.S. getting serious about breaking up Big Tech?
The DOJ has reportedly been laying the groundwork for a Google-focused antitrust investigation in what seems to be the latest signal regulators have the tech giants in their crosshairs.
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Heritage Pharmaceuticals admits to price fixing, antitrust violations
Heritage Pharmaceuticals, a generic pharmaceutical company headquartered in New Jersey, was charged with conspiring with competitors to fix prices, rig bids, and allocate customers.
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Survey: Healthcare compliance officers' roles expanding
A new study from SAI Global and Strategic Management Services shows how the role of healthcare CCO has evolved beyond regulatory compliance.
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ExxonMobil governance as toxic as carbon footprint
The fact that ExxonMobil continues to think only about its bottom line and is indifferent toward the devastating global consequences of its actions demonstrates a corporate culture with no moral compass.
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New ThreatAware feature enables proof of compliance
Cyber-security monitoring platform ThreatAware has added a new reporting feature to provide businesses with a full audit trail on any aspect of their IT security.
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Walmart names chief ethics and compliance officer for international
Walmart has appointed David Searle as vice president, chief ethics and compliance officer for international.
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Bricker resigns chief accountant post at SEC
Wes Bricker, chief accountant at the Securities and Exchange Commission, is leaving his post in June, to be succeeded by Sagar Teotia as acting chief accountant.