Articles | Compliance Week – Page 252
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Firms gird for fast-approaching NYDFS cyber-security deadlines
New York’s new cyber-security rules are already creating compliance and liability concerns. They may also give rise to a fractured playing field of demands in other states.
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Will AI disrupt compliance and internal audit?
At a recent Compliance Week conference, experts discussed implementation and expectation for incorporating artificial intelligence into compliance programs.
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ArticleStriving toward a better ethics and compliance training program
NAVEX’s 2017 report on ethics and compliance training is out, and the results are required reading for compliance officers eager to know how well their programs compare to their peers.
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ArticleCompanies clearly favor modified adoption of revenue rule
Investors would like to see full historic numbers under the new revenue rules, but companies clearly are planning to give them less. How will they bridge the gap?
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Biometrics, cash, and the end of money laundering as we know it?
As the technology to facilitate cashless transactions becomes more widespread, it can play an important role in know-your-customer and anti-money laundering efforts.
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Keys to a better whistleblower program
Organisations with robust speak-up programs can address compliance problems pre-emptively, but building such programs can be tricky. Here are 12 tips how.
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GDPR compliance is lagging
A survey says many firms are nowhere near ready to comply with the new EU data privacy standard. CCOs should consider people, processes, technology, and data when building a GDPR solution.
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Is the European Union out to get Google?
While it might seem as if the European Union has it in for Google, a search of its open cases will reveal that it has its sights set on more than just the search engine firm.
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Rhetoric begins to shift to regulatory easing
While members of the Trump Administration wave off persistent critics, rule changes are starting to take root, notably for the Volcker rule.
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SEC’s consolidated audit trail at risk again, this time by funding
Developed as a database to monitor markets and prevent flash crashes, the SEC’s consolidated audit trail has a big, new roadblock.
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CPAs will get new marching orders on spotting illegal acts
A professional accounting committee has opened a can of worms with a proposal regarding how accountants should respond when they stumble upon illegal activity.
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Brexit relies on Great Repeal Bill to work, but outcome is still uncertain
The British government is in a race against time to stave off legislative chaos once Brexit becomes official, but so far, the stopgap measures seem less than perfect.
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How a pair of SEC rules might survive deregulation
There has been plenty of tough talk of deregulation in the Trump administration, but a few rules appear too valuable to repeal or roll back.
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Rule overload vs. a rhetorical rabbit hole
Downsizing the regulatory regime can be a worthy goal that helps build the economy without harming the public. But be wary when politics guide the process.
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At 15, Sarbanes-Oxley Act inspires reflection, renewed attacks
The Sarbanes-Oxley Act, legislation that ushered in an era of refocused corporate compliance, is in the spotlight again. Has it worked? Or will it end up on the regulatory chopping block?
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ArticleThe compliance side of the war on drugs
In a precedent-setting case, drugmaker Mallinckrodt Pharmaceuticals has agreed to a $35 million settlement with the U.S. federal government for failing to monitor its sales channels for suspicious orders.
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Mexico unveils new anti-corruption law
A new Mexican law cracks down on dishonest business, especially with public servants. But companies with strong compliance programs should have little to fear, experts say.
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ACA filing deadlines still loom amid reform debate
Companies that choose not to comply with Obamacare tax filing regulations, hoping for a repeal of the law instead, are playing with fire, experts say.
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England: land of crooks or land of enforcement?
There have been an awful lot of chief executives hauled to court recently in England, which begs the question: Why so many, and why now?
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How the 4 Cs of compliance training protect financial institutions
Compliance training often can be hard to sell internally. But a training program that focuses on four cardinal virtues not only can gain traction, but can deliver value to the enterprise.