Articles | Compliance Week – Page 214
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Article
Lockpath adds templates to GRC platform
Integrated risk management solutions provider Lockpath announced the availability of templates within its governance, risk management, and compliance platform, Keylight Team Edition.
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FTI Consulting hire strengthens forensic accounting practice
FTI Consulting announced the appointment of Morgan Magionos as a managing director in the Forensic Accounting & Advisory Services practice within the firm’s Forensic & Litigation Consulting segment.
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ArticleFCA and the future of financial conduct regulation
Post-Brexit, FCA Chief Executive Andrew Bailey says the U.K. agency will take a “lower burden” regulatory approach than that of the European Union.
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ArticleOCIE issues risk alert on Regulation S-P
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert on Regulation S-P describing the most common deficiencies it has uncovered in recent examinations of both registered investment advisers and broker-dealers.
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Tesla to phase out four board members
Tesla disclosed in a filing with the Securities and Exchange Commission that four of its directors eventually will be phased out, reducing the size of its board to seven.
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ArticleWashington state privacy legislation fades, for now
The second proposed data privacy regulation in the nation has failed to come to fruition for the time being.
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ArticleFacebook appoints new general counsel
Facebook has appointed both a new general counsel and a vice president of communications as the social media giant faces mounting regulatory and public scrutiny—mostly around its privacy practices.
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ArticleBest practices for managing employee reports
A recent report from NAVEX Global offers a look at how the performance of ethics and compliance officers’ hotline and incident management systems stack up against their peers.
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MarketAxess appoints global chief risk officer
MarketAxess Holdings has appointed Oliver Huggins as global chief risk officer, effective April 15.
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Office Depot chief accounting officer to resign
Office Depot announced in a securities filing that Scott Kriss, who was appointed chief accounting officer last year, informed the company of his decision to resign “for personal reasons,” effective in June.
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ArticleCMA recommends major overhaul of U.K. audit market
The U.K. Competition and Markets Authority (CMA) has recommended reform of the audit market aimed at increasing quality and competition and breaking the stranglehold of the Big Four accounting firms.
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ArticleAudit committees advised: be cautious if PCAOB calls
The PCAOB wants to engage more directly with audit committees, but they may get a cool response from some audit committee members wary of the risks.
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ArticleAccounting class action filing still high, report says
Accounting class action filings in 2018 remained “uncharacteristically high,” according to the latest analysis by Cornerstone Research.
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FTI Consulting appoints bank regulation co-leader
FTI Consulting announced the appointment of Senior Managing Director Stella Mendes as co-leader of the financial services bank regulation and governance practice within the firm’s Forensic & Litigation Consulting segment.
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Article
UniCredit Group Banks to pay $1.3B for sanctions violations
UniCredit Group Banks will pay total financial penalties of approximately $1.3 billion for processing hundreds of millions of dollars of transactions through the U.S. financial system on behalf of an entity designated as a weapons of mass destruction proliferator and other Iranian entities subject to U.S. economic sanctions, the Department ...
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ArticleExecuting a culture of integrity initiative
Building a culture of integrity is more than just putting on a compliance week fair; join this Conversation at the annual CW conference in May to learn how to implement a culture of integrity.
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ArticleFCA publishes its Business Plan for 2019/20
The U.K. Financial Conduct Authority on 17 April published its Business Plan for 2019/20, outlining its key priorities for the coming year.
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ArticleSurvey: Companies just starting to prepare for CCPA
A new study from Compliance Week and TrustArc says companies are not yet prepared for the coming California Consumer Privacy Act, the Golden State’s version of the EU’s GDPR.
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ArticleAICPA revenue recognition guide hits audit, sector issues
Still looking for some help on revenue recognition? The AICPA has published an audit and accounting guide meant to work through industry-specific issues.
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ArticleThe Boston RegTech Meetup: Dedicated to removing friction to innovation
At the upcoming CW annual conference, an expert panel will examine ways to bring regulators, firms, and innovators together to discuss how to get new ideas to the table faster and how to implement them at the same pace.