Articles | Compliance Week – Page 247
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Employee amnesty programs: Strategic move or act of desperation?
Employee amnesty programs are a successful investigative tactic to get to the bottom of ethics and compliance lapses. So why don’t more compliance programs offer them?
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Financial services firms buckle down on data security
There is no single solution to prevent the many flavors of cyber-crime. Private enterprise and the government, however, should do a better job of working together.
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Avoiding the compliance complications of GDPR
The EU GDPR transcends borders, and any company with business ties to the EU should be aware this rule is not only set in stone, but has teeth that can cut into bottom lines.
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Amid uncertainty, SEC entrance into Fiduciary rule saga takes shape
While the Labor Department’s Fiduciary rule for investment advice remains uncertain amid lawsuits and Congressional attacks, the SEC prepares to issue its own version.
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ArticleCompliance practices for Iran and Russia sanctions
Looming deadlines and decision points concerning Iran and Russia may portend changes in the implementation of existing sanctions. The challenge for sanctions compliance professionals is how to manage these risks while still engaging in legitimate trade.
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Early revenue adopters report little change to numbers
Early adopters of the new revenue standard are big companies with little change to their reported revenue numbers, but more substantial change to disclosures.
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South Africa Gupta saga: A long list of compliance failures
Corruption allegations in South Africa have entangled some major international companies, highlighting due diligence, risk management, compliance, and audit control failures.
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Enforcement against opioid drug makers and distributors escalates
Several actions taken by the Department of Justice in recent weeks make it clear that prosecutors have their sights set squarely on pharmaceutical manufacturers and distributors for their role in the opioid epidemic.
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From ‘regulatory spaghetti’ to ‘regulator ready’
For financial services firms, employing centralized data processing is a capability that many firms simply cannot afford to live without.
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ArticleAuditors will start listing, describing critical audit matters in 2019
Auditors have been dispatched by the PCAOB and the SEC to begin listing and describing in audit reports where they had the most difficulty in each audit.
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How financial regulation will evolve under Fed Chairman Powell
If confirmed by the Senate, President Trump’s decision to promote Fed Governor Jerome Powell to chairman will further his deregulatory agenda, albeit in a kinder, gentler way.
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Sexual harassment must become a compliance issue
No longer can sexual harassment claims be shuffled off to the HR department. The accusations need to be viewed in terms of materiality and reputation risk.
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The evolution of XBRL
XBRL has been the way forward for standardizing the financial data used by companies, regulators, and investors alike. But to understand its future, you first must learn its history.
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Managing compliance in a small FinTech company
Managing compliance at a small company where life moves fast and risk is the stimulant of choice isn’t for everyone, but here is how you can make it work for you.
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Elements of a best-in-class TPRM program
Prudent ethics and compliance officers will want to check out a new third-party risk management benchmark report from NAVEX Global to gauge how their programs compare against their peers.
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Case study: How Aramark reduced its SOX compliance costs
Food-service giant Aramark shares in candid detail its growing pains toward SOX compliance maturity, lessons learned, and how it reduced its costs along the way.
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Bank of England: Banks not prepared for Brexit
European banks are under-prepared for Brexit and could lose access to the City of London if they do not move quickly to apply for a U.K. banking licence, a Bank of England committee has warned.
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New accounting rules mean new tools to achieve compliance
Massive new accounting requirements present a strong case for the deployment of new technologies to achieve compliance.
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ArticleSEC nominees make their pitch for long-empty seats
Questions about cyber-security, insider trading, materiality, and individual accountability greeted SEC nominees appearing before the Senate Banking Committee.
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Defense contractors must face third-party risk head-on with new cyber-security rules
New, potentially overlooked government-issued cyber-security demands for defense contractors extend into their network of suppliers as of Dec. 31.