Articles | Compliance Week – Page 274
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Despite heightened risks, auditors limit cyber-questions
Auditors are arming up to be more proactive in the escalating cyber-war, but this year they’re still limiting their focus to financial statement risk. Tammy Whitehouse has more.
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Wells Fargo and the whistleblower lessons it imparts
Ethics and compliance officers can learn a lot from the toxic corporate culture at Wells Fargo, especially as it concerns lessons in whistleblower protections. Jaclyn Jaeger has more.
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TalkTalk’s £400,000 data hack fine is a dire warning
Regulators have used TalkTalk as an example that they can and will go after companies that take cyber-security and protecting customer data lightly. Neil Hodge explores.
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ISS finalizes new U.S. shareholder voting policies
The annual ISS review of shareholder voting policies is out, and Joe Mont has the rundown on what it all means.
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Cobalt may be next big challenge for corporate sustainability
Yes, there still remains some uncertainty about the SEC’s conflict minerals rule. Four years later, notes Joe Mont, add another concern: cobalt.
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ISS seeks comment on proposed voting policy changes
Paul Hodgson looks at proxy advisory firm Institutional Shareholder Services’ proposed changes to its 2017 voting policies.
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An inside look at the SEC Office of the Whistleblower
Jaclyn Jaeger talks with Sean McKessy, who served as first-ever chief of the SEC’s Office of the Whistleblower, about the Whistleblower Program, his time at the SEC, and how companies could improve their whistleblower programs.
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Survey: Trials, tribulations of third-party risk management
Jaclyn Jaeger has the results of a new survey jointly conducted by Compliance Week and Crowe Horwath that explores the many trials and tribulations of third-party risk management programs.
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New sanctions, export controls guidance from DoJ
The Justice Department just made it a lot harder to get credit for voluntarily self-disclosing potential violations of sanctions and export controls. Jaclyn Jaeger reports.
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Big bucks mean big headaches as CEOs face personal scrutiny
The era of “plausible deniability” for CEOs may be coming to an end as pay scrutiny goes hand-in-hand with personal liability. Joe Mont explores.
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3 ways audit committees can rein in corporate culture
After another banking scandal, heads are turning to the audit committee for answers. Tammy Whitehouse reports on how audit committees can fix errant corporate culture.
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Is universal proxy voting a boon or bust for directors?
Joe Mont reports on the SEC’s proposal for universal proxy cards. Meant to improve board composition, some fear they might create shareholder chaos.
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Dutch trade union brings legal action against FIFA
The Fédération Internationale de Football Association (FIFA) is the subject of another legal action for failing to ensure that the rights of migrant workers are respected as they work on projects connected to the 2022 World Cup in Qatar. Neil Hodge reports.
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The pros and cons of ISO 37001 certification
ISO has released a new anti-bribery standard, but not everyone is convinced that they actually need it, reports Jaclyn Jaeger.
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ArticleSCOTUS, Congress to provide new legal insider-trading definition
A case before the Supreme Court and two bills in Congress could finally establish a national legal definition for insider trading. Joe Mont reports.
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Even with relief, intercompany debt rules still pack a punch
Final tax regulations on intercompany debt provide some relief, but companies still face a heavy uphill climb to achieve the documentation requirements. Tammy Whitehouse explores.
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European Union, Apple, and Ireland tax
U.S. tech firm Apple has been ordered by the European Commission to pay €13bn (U.S. $14B) in back taxes, a move that has many up in arms and worried it may set a precedent for U.S. firms operating overseas. Neil Hodge has more.
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SEC brings more bank-like regulation to mutual funds
Mutual funds and ETFs face new disclosure requirements and redesigned liquidity risk management programs under a new SEC rule targeting systemic risk. Joe Mont has more.
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CFPB’s legal setback goes beyond constitutionality
A successful legal challenge against the constitutionality of the CFPB doesn’t mean it will go away anytime soon. It should, however, prompt companies to rethink dealings with the agency. Joe Mont has more.
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ArticleAuditors plan to dig into controls, risk in year-end audits
Auditors preparing for the upcoming year-end audit cycle are assembling a long list of accounting, regulatory, and market concerns. Tammy Whitehouse has more.