Articles | Compliance Week – Page 261
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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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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.
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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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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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ArticleBNP 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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ArticleAdd 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.