Articles | Compliance Week – Page 239
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What Wells Fargo’s woes could mean for near future of bank regulation
A $1 billion fine may set the stage for even harsher enforcement actions against Wells Fargo and their big bank brethren, despite the deregulatory zeal taking hold at the Federal Reserve and other agencies.
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SEC begins process of drafting its own fiduciary rule
With the apparent demise of the Labor Department’s fiduciary rule, the SEC has stepped in to fill the void. Will the proposed Regulation Best Interest aid investors?
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Barclays’ Staley to be fined in whistleblower case
Barclays bank chief Jes Staley gets to keep his job but faces a significant fine after admitting using bank staff to try to reveal a whistleblower’s identity.
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Global aspects of tax reform prove particularly difficult
Elation morphed into confusion in the first quarter as companies celebrated tax reform, then dug in to figure out what it all means and how to comply.
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China’s new anti-graft agency brings key compliance risk
A powerful new anti-corruption enforcement body in China makes it imperative that firms carefully review existing interactions with public officials in the country.
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Deeds trump talk in compliance culture
From gender-based pay discrepancies to cultural sensitivities, deeds are more important than talk of a quality corporate culture. It is a lesson companies may learn the hard way.
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Kathryn Murtagh: The endowment overseer
For Kathryn Murtagh, managing director and chief compliance officer at Harvard Management Company, handling myriad compliance concerns of Harvard’s financial management arm takes a special kind of vision and commitment.
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Kim Yapchai: The role model
At Tenneco, Chief Ethics and Compliance Officer Kim Yapchai is building on years of experience to strengthen the company’s global compliance program.
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A marketplace response to corruption
A ball-tampering scandal in Australian cricket shows that sometimes the market is the strongest enforcer.
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Mitigating Brexit-related supply chain risk
A recent survey from NAVEX Global outlines the many hurdles that will need to be cleared by U.K. businesses as they prepare their supply chains for Brexit.
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Getting to the heart of what went wrong at Danske Bank
A long-running money laundering scandal at Denmark’s biggest lender has resulted in one of the bank’s executives stepping down, but he’s unlikely to be the last.
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With harassment reports rising, it’s important to respond the right way
Rising harassment reports in the wake of the #MeToo movement is highlighting best practices forn how compliance should react to these allegations.
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Assessing Facebook’s many regulatory and compliance lessons
After a hectic week of Congressional testimony, there is a better understanding of Facebook’s data protection woes. There is also plenty of fodder for regulatory and compliance debates.
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Filing problems? SEC invites companies to ask for help
Where one entity’s financial statements get impossibly tangled with another’s, the SEC is inviting companies to reach out and ask for some relief.
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Amid criticism, can trust in U.K. FRC be restored?
Attacks on the Financial Reporting Council are growing at the same time the U.K. regulator has been granted sweeping new powers to do a job it has been accused of not doing very well.
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Push for Volcker rule reforms gains momentum
Since the day the Dodd-Frank Act was passed nearly a decade ago, the Volcker rule has been a burr under the saddle for Republicans. Now, their complaints are a lot closer to having a remedy, with plans to ease the rule’s burden on community banks.
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Early adoption options could ease some accounting strife
Despite the enormity of accounting change occurring at public companies, some might spare themselves some grief by adopting certain rules before they are mandatory.
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Carillion demise brings lessons in compliance
The collapse of U.K. construction firm Carillion points to a need for compliance to step up to the plate and conduct its own due diligence, regardless of where the markets may lead.
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Cindy Moehring: The catalyst for change
Cindy Moehring, Walmart’s head of compliance, runs a program as ambitious as Walmart itself, requiring diligence, innovation, relatability, and the courage to make hard calls.
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Indrani Franchini: The champion of culture
For almost 20 years, Indrani Franchini has made a career out of getting to know the industry she is in, creating business relationships that build value and driving cultural change.