Articles | Compliance Week – Page 231
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CCOs and the absurdity of executive hypocrisy
The beauty of being in the compliance field (or writing about it) is that within any day’s news cycle, there are lessons to learn and debates to be had. This past week has been chock full of both.
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Tackling the contentious issue of guidance vs. regulation
For years, a battle over the place of guidance in the regulatory world has been hotly debated. Now, there may be some clarity.
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New SFO director will leverage compliance officers’ expertise
Head of the Serious Fraud Office Lisa Osofsky laid out her priorities for the agency in the coming months and provided CCOs a glimpse into what the SFO will expect.
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SEC, FASB issue changes aimed at simplifying disclosure requirements
Companies need to update their disclosure controls and procedures now that the SEC and FASB are starting to trim unnecessary bulk out of disclosure requirements.
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U.K. regulator setting global example in facilitating technology growth
FCA-backed sandboxes set up for testing in a live environment have put British RegTech and FinTech ahead of the curve.
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Special report: A practical guide to compliance technology
A slate of new technologies is poised to push the compliance function to new horizons of efficiency and effectiveness. It may be easier said than done, however—especially without a plan of attack.
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Vocabulary to add to your compliance lexicon
A quick look at of some of the terminology associated with emerging technology and its application to governance, risk, and compliance. Instead of organizing this glossary alphabetically, we’ve started with the simplest terms before moving to more complex ones.
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Ask Amii mailbag: Best practices for giving change a chance
In her first mailbag on some of the softer skills effective compliance leaders need, executive coach Amii Barnard-Bahn tackles your questions on change management, compliance training, creating a culture of compliance, and more.
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New guidance (somewhat) relaxes federal contractors’ compensation audits
The Labor Department’s Office of Federal Contract Compliance Programs has released a new directive outlining the agency’s procedures for reviewing contractor compensation practices that promises “greater transparency, consistency, and efficiency in compliance evaluations.”
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Congressional debate emerges: How to regulate social media
Fueled by election tampering and “fake news,” social media companies are creeping ever closer to facing new regulation.
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The ‘compliance transformation’ is coming
The compliance officer of the future will need to have the same foundational requirements for the job, but also the flexibility to adapt to the rapid changes technology is bringing to the industry.
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My Compliance Library: Compliance lessons of fusing brand and culture
Richard Bistrong takes an in-depth look at Denise Lee Yohn’s, “Fusion, How Integrating Brand and Culture Powers the World’s Greatest Companies,” which offers organizations a model for merging internal values with external branding and guides the compliance function in linking stated values to operations.
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ING reaches $900M settlement with Dutch authorities
Global financial institution ING announced Tuesday that it has reached a $900 million settlement with Dutch authorities to resolve its money laundering case. A close reading of the enforcement action offers numerous lessons for compliance and risk officers.
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Guidance equips companies to advance CECL adoption
Recent guidance and potentially more to come is aiding companies in their long journey to adopt the new CECL method for reflecting credit losses.
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Compliance analytics can help you harness the power of data
If you’re drowning in a sea of information, compliance analytics might be the life vest that can rescue you from chaos.
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As artificial intelligence rises, let’s not forget about human intelligence
Will technology eventually replace people in the compliance space? Not anytime soon, say experts, who believe human analysis—and accountability—will never go away.
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Second Circuit ruling limits scope of FCPA liability
Compliance officers and in-house counsel should take a close look at a recent Second Circuit decision that limits the scope of the FCPA liability.
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Modern Slavery Act: an emerging picture of non-compliance
A scathing report calls out large number of U.K. agricultural companies for non-compliance with the Modern Slavery Act.
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Accountants, auditors turn to technology to cope with change
Accountants and auditors coping with an onslaught of new requirements are beginning to regard technology as a critical means of achieving compliance.
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Three steps for managing the FCPA risk of distributor compensation
With the Microsoft FCPA investigation as context, there are three things your company can do to manage the risks associated with third-party distributors.