Articles | Compliance Week – Page 258
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Ireland’s boardroom hopping a conflict of interest
A recent survey from Ireland’s Institute of Directors highlights some key aspects of board of directors’ behaviour, including jumping from board to board, often a conflict of interest.
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Visit the “front lines” for the best in risk management
PwC’s sixth annual “Risk in Review” survey spells out the many ways in which firms that place risk accountability with business units enjoy greater risk management overall.
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The Never-Ending Story
In the latest installment of the Compliance Week / OCEG GRC Illustrated Series, we explore the importance of following up on third-party evaluations.
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Under new leadership, which way will the SEC go?
Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
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ArticleAt the 100-day mark, Trump and Congress escalate deregulation push
The early days of the Trump Administration haven’t meant doom for the Dodd-Frank Act, even as efforts to scale it back materialize on several fronts.
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The CFPB is under attack again, but this time may be different
Past efforts to dismantle the CFPB have not accomplished much, but fresh legal challenges and legislation might spell trouble for the much-criticized government office.
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Internal auditors show signs of taking up data analytics
Internal audit shops are buzzing over data analytics, with more audit leaders planning to adopt or expand their use across the scope of their audit work.
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France adopts multinational duty of care law
France has adopted a multinational law that aims to hold companies accountable for rooting out any unacceptable or criminal activity within their supply chains.
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The Financial Reporting Council makes its case for broader powers
An influential committee of Members of Parliament has recommended a wide-ranging series of changes aimed at boosting the powers of the U.K.’s corporate governance regulator.
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Data privacy and cyber-security considerations in M&A deals
The increasingly ominous specter of cyber-risk can cast a shadow over any merger or acquisition. But due-diligence practices can lower the risk.
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ArticleThe inside story of Royal Dutch Shell and the cost of integrity
Several leaked e-mails uncovered in early April reveal Royal Dutch Shell’s involvement in one of the largest bribery schemes in history.
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Directors may be best cops on the regulatory beat
While the battle between regulation and deregulation rages on, shareholder protection may be a job best accomplished by boards.
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Latest internal audit studies suggest path forward for leaders
The latest crop of internal audit studies reveal some promising insights into the trajectory of the profession and strategies to undertake on the path forward.
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A frontline view of whistleblower trends
We chat with Carrie Penman, chief compliance officer and senior vice president of NAVEX Global’s advisory services, about how case closure times for whistleblowers are declining, even as reporting rates increase.
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SEC renews its offensive against ‘fake news’
Fake news, in the eyes of the SEC, isn’t just a problem during election year. Over several decades, stock price manipulations have been predicated on rumors and hoaxes.
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How you reimburse mobile workers could put you at risk for a lawsuit
Regulatory trends and potential lawsuits demand that employers come up with a better way of reimbursing their mobile workers exactly what is owed and proving what was paid.
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ArticleWays companies can ease the pain of pay ratio calculations
Despite a controversial reconsideration of the SEC’s pay ratio rule, its disclosure requirements went into effect on Jan. 1. We talk to compensation expert Steve Seelig of Willis Towers Watson, about how companies, and the Commission, can make the requirements more palatable.
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5 things FinServ firms should know about the NY cyber-law
With New York’s new cyber-security law in effect, compliance officers will need to stay agile to remain compliant with data protection rules. Here are five tips for how to do just that.
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Compliance, Rolls-Royce, and DPAs—what went wrong?
If the Rolls-Royce deferred prosecution agreement is any indicator, the Serious Fraud Office plans to make heavier use of DPAs going forward, especially for companies with paper compliance programs.
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CMA launches first advertising campaign to curb cartels
The Competition and Markets Authority is putting out a £100,000 (U.S.$124,822) bounty for those who blow the whistle on cartel activity, but not everyone wants to pay for disclosure.