Articles | Compliance Week – Page 265
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Will Europe go it alone on financial regulation following Brexit? Don’t count on it
It might seem logical for a post-Brexit European Union to follow a maverick regulatory path, but such a reality is more of a dream than a reality. Tim Sprinkle explains.
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Please, Mrs. May, stay out of the pay debate
Prime Minister Theresa May’s executive pay reforms have created quite a stir in the U.K. Paul Hodgson explores what’s behind all the commotion.
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U.K. governance hearings: it’s all peachy except when it’s not
The Financial Reporting Council has a number of recommendations for improving corporate governance, but not all executives and directors may be happy with them. Paul Hodgson reports.
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U.K. looks to make big changes in corporate governance
The United Kingdom seeks to update corporate governance regulations on three fronts: executive pay, the connection between boards and stakeholders, and applying the corporate governance codes of listed companies to large private firms. Paul Hodgson reports.
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Building a resilient global supply chain
Global supply chain risk has climbed to record levels. Jaclyn Jaeger reports on how one global company is working to bullet-proof its supply chain risk management program.
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Before M&A, think cyber: what every board needs to know
Nothing can sideline a merger or acquisition quite so well as dodgy cyber-security compliance. Simone Petrella discusses what every board should know in advance.
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Slowly but surely, global governance practices are converging
The United States and European Union don’t have a monopoly on corporate governance. A new study looks at how best practices are converging around the globe. Joe Mont reports.
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Still battling over internal control? Focus on risk assessments, communication
In the continually evolving battle over internal control reporting and auditing, the strategy for the next front should include better risk assessments and timely communication with auditors. Tammy Whitehouse has more.
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Q&A: The compliance and legal ties that bind
Jaclyn Jaeger talks with Carey Roberts, deputy general counsel and chief compliance officer of Marsh & McLennan Cos., about her unique dual legal and compliance role.
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SCOTUS ruling a boon for prosecutors, but questions linger
The Supreme Court has turned back the clock on insider-trading law, giving prosecutors renewed leeway despite lingering questions, reports Joe Mont.
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Governance compliance on the rise, but more is not always better
Compliance and reporting are on the rise, but so is the amount of material used as documentation. Is quality getting mired by quantity? Paul Hodgson reports.
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Fostering an ethical culture with training
Culture is the holy grail of ethics and compliance programs, but it’s also the one area that ethics and compliance officers struggle with the most. Jaclyn Jaeger explores today’s innovative solutions inside.
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Former Southwest CEO: Harnessing an ethical culture
During a keynote address at a recent NAVEX conference, Howard Putnam, former CEO of Southwest Airlines and Braniff International Airways, spoke candidly about harnessing the business value of an ethical culture. Jaclyn Jaeger has more.
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My Compliance Library: Is it time for an incentive mine sweep?
Richard Bistrong and Marc Hodak discuss pay-for-performance and its role in corporate ethics and compliance policies.
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Are pharma firms set for increased scrutiny?
How pharmaceutical firms price their products is getting a lot of additional attention in the United Kingdom and United States. Neil Hodge reports.
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Talking to ‘The Infiltrator’ about AML
Joe Mont talks to Robert Mazur, the undercover agent portrayed in the movie The Infiltrator, and Bill Sweeney, financial services evangelist at BAE Systems Applied Intelligence, about the shadowy underworld of money laundering.
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For whom the ring tolls: Companies struggle with TCPA
A sector-wide swath of companies has faced expensive troubles under the consumer-friendly Telephone Consumer Protection Act. Its upward enforcement trend is especially troubling in an age where direct outreach to consumers is of increasing importance, says Joe Mont.
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Audit cost data hint at improvements in internal control
The newest data on audit costs suggest public companies, or at least the largest ones, might be getting a handle on internal control over financial reporting. Tammy Whitehouse reports.
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Comment letters with no response
Nobody likes to get a comment letter from the SEC, but what happens when you don’t respond or comply with one? Mercedes Erickson has the answers.
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Better cyber-security through better cyber-compliance training
The Achilles’ heel of every cyber-security program is compliance. Javvad Malik offers some tips on how the right kind of training can fix that.