Articles | Compliance Week – Page 253
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Ethics and compliance in United States takes global stage
What do the recent resignations of Walter Shaub, director of the U.S. Office of Government Ethics, and Department of Justice Compliance Counsel Hui Chen mean for the ethics and compliance community?
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Getting ready for SEC cyber-security tests
The SEC is testing investment firms for cyber-security readiness. Preparing for it is a marathon, not a sprint.
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BNP Paribas faces fresh accusations over involvement with Rwandan genocide
Lingering accusations that BNP Paribas processed transactions that helped finance the 1994 Rwandan genocide continue to dog one of France’s largest banks.
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New index shows extractives governance lacking in some countries
The results from the Natural Resource Governance Institute’s Resource Governance Index show a lack of governance for natural resources.
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CFPB courts even more controversy with arbitration rule
A new rule finalized by the CFPB bans arbitration demands in financial services agreements. A boon to class-action attorneys, questions abound as to what it all means for firms.
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SEC focus on creating IPOs has hurdles to overcome
The SEC, through its new chairman, Jay Clayton, is looking to spark capital formation and new public offerings. Are its incentives enough?
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Best practices for cartel enforcement compliance
As Makan Delrahim seeks confirmation as the Justice Department’s new antitrust chief, cartel enforcement will be a point of interest for compliance professionals everywhere.
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How do your risk oversight processes stack up?
A pair of recently published reports draw a straight line between strong enterprise-wide risk management and strategic execution.
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Add tax to the growing list of revenue recognition crises
Just as tax is the last thing to happen in a financial statement close, it seems to be the last thing happening in preparing for the new revenue rules as well.
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Hard Brexit, soft Brexit? U.K. can’t have its cake and eat it, too
The U.K. is trying different ways to see if it can have its cake and eat it too when it comes to asserting its independence while still enjoying perks of EU membership.
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Transforming information gatherers into information analyzers
The case for automating simpler data-driven aspects of compliance makes itself, but don’t forget how automation can further empower human CCOs, too.
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FCPA Pilot Program leads to two 2017 declinations
The FCPA Pilot Program declinations we have seen so far in 2017 both make substantial additions to the precedent for how to avoid prosecution under the FCPA.
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Brexit provides plenty of compliance opportunities
The 2019 Brexit deadline is creating a host of big opportunities for companies to boost their compliance programs, and for compliance professionals to show their worth.
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Correspondent banking fades; de-risking gets the blame
In an ironic twist, regulation designed to protect the global financial system is forcing whole regions outside the regulated financial system, creating more risk for everyone.
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Artifacts and artwork can collect trouble
Craft supply giant Hobby Lobby is in hot water for illegally importing historical artifacts. Other collections, including artwork, can also be a big problem for unsuspecting firms.
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Distilling lessons from the FCPA Pilot Program
A year after the DoJ launched its FCPA pilot program, companies are gaining much-valued insight on how to self-disclose and cooperate with the Criminal Division’s Fraud Section.
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New leadership, similar enforcement agenda
Amid plenty of public turmoil in the Trump administration’s early days, the enforcement agendas of both the DoJ and the SEC remain fundamentally unchanged.
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Uncontrolled text messaging exposes your company to massive risk
Texting isn’t just dangerous while driving; unless you archive your company’s SMS/text message traffic, you risk substantial legal, reputational, and regulatory risk.
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Lessons from employees who break the rules
Why do employees break the rules? These tips can lead to policies and procedures that help curb rule breaking.
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Brazil’s largest corruption investigation in history hits new heights … and lows
As Brazilian investigators look into massive corruption between public officials and one of the country’s biggest companies, scandal-weary Brazilians wonder when this will all end.