Articles | Compliance Week – Page 243
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Keeping your harassment policies fresh and inspiring
In any industry, having policies and procedures that address sexual harassment is a good start, but more telling will be how the code is enforced in the weeks and months to come.
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SEC considers amending auditor independence rules
Has it become unrealistic for some companies to engage truly independent auditors? Exploring that possibility, the SEC may amend its independence rules.
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Companies twist and abuse non-disclosure agreements
Companies that use NDAs, traditionally intended to protect intellectual property and trade secrets, as a form of “pretaliation” are courting danger.
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How much disruption can shareholder activists cause?
The rising trend toward shareholder activism has incited boards of directors to seek defensive measures, but do shareholders pose that much of a threat?
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Uber breach sheds light on how companies use ‘bug hunters’
As a cyber-security tool, companies are turning to outsiders to hunt down software and security flaws. The concern is that bug bounties may become excessive or reward illegal activity.
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FDIC recordkeeping rule poses a big bank data challenge
To get a better grip on resolution planning, the FDIC wants banks to do a better job keeping track of deposit data.
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Carillion: compliance without complying
The Carillion collapse illustrates once again that compliance with the U.K. corporate governance code does nothing to prevent bad actors from making bad decisions.
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My Compliance Library: Latest books show the way to better ethical decision making
Workplace pressures can challenge even the most ethically stalwart, so how can we better frame tough ethical dilemmas and better see when we’re compromising our own values?
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Lax AML controls plague Mexico's financial services sector
Politically exposed persons, beneficial ownership, and suspicious transactions all continue to bedevil Mexican banking efforts to combat money laundering and terrorism financing.
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How data and analytics drive Microsoft’s compliance mission
As a leading global enterprise, Microsoft has a pretty full plate of compliance matters to handle. That’s why it relies so much on data, analyftics, and skillful oversight to manage its risk.
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Lactalis baby milk recall a nightmare of its own making
French dairy giant Lactalis is facing a massive baby milk recall both due to salmonella and its failure to disclose the contamination in a timely manner.
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Preventing sexual misconduct at work starts with culture
Allegations of sexual misconduct that have surfaced in recent months underscore how important it is to reevaluate how to address sexual harassment in the workplace.
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Fraud, conspiracy charges pile on audit committee task list
Charges of fraud and conspiracy have rocked the audit profession and raised concerns about the regulatory process, leaving audit committees with more questions to ask auditors.
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Prudential Financial’s Lee Augsburger and the power of culture
When you’re one of the world’s biggest insurance companies, embracing cultural difference is key to creating a truly global compliance program that delivers results.
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Adapting the regulatory landscape for FinTech remains a challenge
As FinTech services proliferate, state and federal regulators are considering how to create a simpler set of rules, but progress has been slow.
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Equal pay fast becoming a U.K. compliance issue
Disputes over discrepancies in compensation are rapidly involving both boardrooms and human resources in ways that compliance will ultimately oversee.
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Argentina passes tough new anti-corruption law
Long criticized for looking the other way on graft, Argentina now requires companies doing business there to build strong anti-corruption programs, and plans to enforce it, as well.
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Eliminating seasonality could be a quantum leap for audit quality
Big Four audit firms currently labor under a self-imposed hardship of an intense peak season that erodes audit quality and strains the workforce. What if there was a better way?
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Despite deregulation push, the SEC keeps working on new rules
Even as the Trump Administration trumpets its deregulation efforts, the SEC is working to implement a backlog of stalled rules already on the books.
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PCAOB ponders plateau, calls on firms to dig deeper
With PCAOB inspection results hitting a plateau, how can auditors be held accountable for better audit quality? Amid allegations of fraud and conspiracy, is culture a factor?