Articles | Compliance Week – Page 255

Article

Compliance & ethics in litigation finance

2017-11-28T12:15:00Z

Crowdsourcing legal costs is one of the world’s more novel alternative asset classes, but the clock is ticking on when compliance officers will need to enforce some rules on it.

Article

5 questions to ask about cloud security implications

2017-11-28T12:00:00Z

As firms increasingly turn to cloud computing and data storage, compliance officers need to understand the particular risks that come with using this kind of technology.

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Audit technology pushes companies to get data in order

2017-11-28T11:30:00Z

To stay in step with audit technology, companies need to start thinking hard about their own technological capabilities to stand up to the audit process.

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2018’s internal audit agenda: culture, technology, and change

2017-11-21T16:45:00Z

Internal audit plans for the coming year will reflect more consideration of corporate culture and the risks it might pose to the company’s success.

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Merging GDPR compliance and cyber-risk management

2017-11-21T12:15:00Z

Many organizations today are elevating cyber-risk to the top of the corporate agenda in response to the impending EU General Data Protection Regulation, a new report reveals.

Article

5 steps to ensure GDPR contract compliance

2017-11-21T12:00:00Z

The General Data Protection Regulation takes effect in just a few short months. For those struggling with the huge burden GDPR entails, here are some tips for contract compliance.

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ESMA takes aim at U.S. banks with new MiFID II directive

2017-11-21T11:45:00Z

The expansion of the scope under MiFID II will make it far likelier for market participants to be caught within EU regulators’ crosshairs without even realizing it. Some tips for avoiding that fate are inside.

Article

How compliance can demonstrate return on investment

2017-11-21T10:45:00Z

CCOs shared how they demonstrate to senior leaders and board members the compliance program’s return on investment during the recent virtual compliance conference.

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Using metrics to gauge corporate culture

2017-11-21T10:30:00Z

At a recent ethics and compliance virtual conference, ethics officers shared their approaches for gathering and using metrics to gauge corporate culture.

Article

SEC, UPS, and the MLB

2017-11-15T13:00:00Z

Title: SEC, UPS, and the MLBThis week, the SEC comes under fire for whistleblower complaints, UPS joins the blockchain bandwagon, and two individuals connected to the MLB are convicted of smuggling.

Article

Employee amnesty programs: Strategic move or act of desperation?

2017-11-14T12:00:00Z

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?

Article

New guidance for best practices on human rights

2017-11-14T12:00:00Z

A new guidance is giving compliance officers the tool they need to benchmark their own organization’s efforts to protect, respect, and remedy human rights.

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Amid uncertainty, SEC entrance into Fiduciary rule saga takes shape

2017-11-14T11:45:00Z

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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Avoiding the compliance complications of GDPR

2017-11-14T11:45:00Z

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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Financial services firms buckle down on data security

2017-11-14T11:45:00Z

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.

Article

Compliance practices for Iran and Russia sanctions

2017-11-14T11:30:00Z

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.

Article

Early revenue adopters report little change to numbers

2017-11-14T08:00:00Z

Early adopters of the new revenue standard are big companies with little change to their reported revenue numbers, but more substantial change to disclosures.

Article

South Africa Gupta saga: A long list of compliance failures

2017-11-07T15:00:00Z

Corruption allegations in South Africa have entangled some major international companies, highlighting due diligence, risk management, compliance, and audit control failures.

Article

Enforcement against opioid drug makers and distributors escalates

2017-11-07T14:45:00Z

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’

2017-11-07T14:15:00Z

For financial services firms, employing centralized data processing is a capability that many firms simply cannot afford to live without.