Articles | Compliance Week – Page 225
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SEC faces lawsuit over ‘gag orders’ in enforcement settlements
The Cato Institute, a libertarian think tank, is suing the SEC over the mandatory “gag orders” it has added to its enforcement-based settlement agreements for nearly 40 years.
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Ample fallout from May’s Brexit vote defeat
British regulators and Members of Parliament had some serious comments and concerns after Tuesday’s 432-to-202 vote against U.K. Prime Minister Theresa May’s Brexit plan.
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LIBOR death knell tolls compliance, accounting issues
The slow death of a critical benchmark interest rate will produce a series of compliance headaches for companies stretching over the next few years.
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Anti-corruption developments in emerging markets
In a recent webcast conducted by law firm Gibson Dunn, a panel of anti-corruption experts shared some key insights into the latest anti-corruption developments in some of the world’s largest—but most corrupt—regions and offered some practical tips on how to do business in these countries without running afoul of anti-corruption ...
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Data-bungling Facebook has to earn back our trust
It was a tight race, but we are officially declaring Facebook founder and CEO Mark Zuckerberg as the executive most in need of a compliance makeover in 2019.
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EU investigates Nike over tax
The European Commission has opened an in-depth investigation to examine whether the Dutch government unfairly helped U.S. sportswear company Nike avoid paying taxes on its European profits through a series of favourable tax rulings.
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Study: Blowing the whistle won’t harm the bottom line
A new study from NAVEX Global reveals whistleblower hotlines don’t often prove detrimental to business outcomes.
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Understanding the territorial scope of the GDPR
EU companies should scrutinize new guidelines from the European Data Protection Board that signal the long arm of the GDPR extends far beyond the European Union.
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Bezos fallout: Disclosure and divorce
When a CEO is in the midst of a divorce, as Amazon’s Jeff Bezos is, does that personal matter rise to the level of shareholder materiality? There are no easy answers, only slippery slopes.
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Pot shops and banks are in the weeds when it comes to compliance
Clashes between state and federal laws are creating regulatory and compliance challenges as pot legalization becomes the norm.
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Top 10 risks that will keep executives on their toes in 2019
A recent survey conducted by global consulting firm Protiviti and North Carolina State University’s Enterprise Risk Management Initiative reveals the top 10 risks facing board of directors and executive management teams in 2019.
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Counterpoint: Deregulation aids the majority
Stockton University Professor of Finance Dr. Michael Busler says regulating industry can be very costly to consumers.
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Point: Regulation is a stabilizing force
Santa Clara University behavioral finance professor Hersh Shefrin says regulation is a remedy for a host of imperfections that interfere with well-functioning markets.
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Why continuous monitoring is crucial for TPRM
Three cautionary tales demonstrate the potential trouble a company can find itself in when third parties are not actively monitored.
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Best practices in preventing a third-party data breach
Examining how “high-performing” organizations handle their third parties lights the path for companies looking to strengthen the weakest links in their data chains.
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Q&A: Five questions with a TPRM specialist
Abercrombie & Fitch Senior Compliance Counsel Rob Seibel, a specialist when it comes to the implementation of a third-party risk management program, discusses trends and challenges around managing risks with third parties.
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CECL queues up as next big accounting change in 2019
The long-awaited new accounting for credit losses, better known as CECL, is moving forward in 2019 unless someone takes definitive action to delay or alter it.
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The risks of outsourcing compliance
Using external firms and consultants can bolster the effectiveness of certain compliance functions. Abdicating too much responsibility, however, could draw the ire of regulators.
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How to break up with a third party the right way
Not all business relationships have a happy-ever-after ending, but there are things both parties can do to mitigate the risks of a third-party breakup.
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Special report: Third-party risk management
As firms increasingly turn to external partners, the risks they acquire can become an internal problem.