Articles | Compliance Week – Page 251
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A step-by-step guide to getting a money transmitter license in California
Money transmitters must be licensed in virtually every state in the U.S. Here is a handy checklist to ensure you are in compliance with California’s licensing requirements.
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Good controls are good business
A recent SEC case highlights five key ways in which strict compliance procedures still pay off for brokerage firms when it comes to detecting and preventing fraud.
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Pushback rises on disclosure of auditor, audit committee talks
Despite calls for transparency around the interaction between audit committees and auditors, angst runs deep about giving investors visibility into that dialogue.
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Operation Choke Point finally suffocated by Justice Department
A controversial government initiative that pushed banks to de-risk themselves from a variety of legal business is now a thing of the past. Or is it?
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When bad behavior builds profitability
Yes, big companies often get away with murder and see profitability roll in as scandals recede. That doesn’t mean ethics and compliance efforts are any less important.
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3M’s John Ostergren on supply chain, third-party risk management
Smart companies understand which risks to take on in the interest of growth and which ones must be shunned, says John Ostergren, director of environment, health and safety at 3M.
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Banks wrangle models, data in early stages of CECL prep
As most public companies deal with revenue recognition and lease accounting changes coming in 2018 and 2019, the banking sector is trying to tame an even bigger beast.
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Compliance remedies for new sanction headaches
Compliance officers will want to reevaluate their trade sanction compliance policies, following new sanctions legislation signed into law this month.
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Executing a sound GDPR data management strategy
If companies understand just one message between now and when the EU’s GDPR comes into force next year, that message is simply this: Clean up your data.
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U.K. considering proposals to enforce better cyber-security
As the U.K. tries to get businesses to protect themselves better against cyber-risk, recently proposed rules all have significant compliance implications.
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Another delay in fiduciary rule could result in substantial revision
The Labor Dept. wants a substantial delay for remaining compliance milestones in its fiduciary rule. What happens in the interim?
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Get your bad-boy groove back
Acceptance at the upper levels of a company is great for integrating compliance with business development and strategy. But don’t lock up the “Department of No” just yet.
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Four reasons companies are lagging in lease adoption, and how to get on track
Companies are slipping behind in implementing the new lease accounting standard, and the call for deferral in the effective date may be getting under way.
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Anti-corruption and human rights make Olympic debut
Starting with the 2024 Summer Games in Paris, Olympic host cities must agree to abide by certain anti-corruption and human rights principles meant to clean up the world of global sports.
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New EU medical device regulations pose many compliance challenges
Companies that market or sell medical devices within the EU will have to abide by significant new rules regarding product classification, clinical evaluations, quality management, and more.
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Cost guidance under new revenue rule is a minefield of issues
Digging deeper into challenges with the revenue standard, companies are traipsing a minefield in determining how to recognize costs tied to generating revenue.
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Differing regulatory ethos poses challenges for cross-border financial institutions
In a group Q&A, we look at how multinational companies should view compliance amid attitudinal differences regarding compliance and enforcement.
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Keeping customer service on the right track
A poor customer interaction can result in a PR nightmare, especially on social media. How can compliance help ensure that staff is properly trained to avoid a reputational fiasco?
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SFO announces Rio Tinto corruption investigation
Rio Tinto faces large fines if it is found to have engaged in corrupt activity over its massive Simandou iron-mining project in Guinea. Heads have already rolled over it.
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How electronic trading strengthens execution in the muni market
As electronic trading becomes more commonplace, especially in the municipal bonds market, there are plenty of compliance benefits to be had.