Articles | Compliance Week – Page 275
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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.
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The rewards for corruption in British football
U.K. footie can’t claim to be “the beautiful game” when it’s being stained by corruption. Paul Hodgson reports.
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Why can’t HM Revenues and Customs get out of its own way?
According to a panel of academics and tax experts, the U.K.’s leading tax authority is too big, too slow, and too ineffective to persist in its current form. Neil Hodge has more.
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New OSHA guidelines take aim at whistleblower ‘gag’ provisions
For companies seeking to settle with OSHA, getting rid of any internal provisions that stifle whistleblowing is a must. Jaclyn Jaeger reports.
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How the World Bank credits compliance efforts
Getting debarred by the World Bank for corruption is bad, but firms taking serious steps to build better compliance afterward show a path to redemption. Jaclyn Jaeger reports.
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Amid rate debates, Federal Reserve maintains a regulatory drumbeat
Arguments over monetary policy may dominate Federal Reserve discussion, but aside from that its influence as a regulator keeps growing. Joe Mont looks at how Chair Janet Yellen’s report to Congress went down.
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7 reasons to study COSO’s new Fraud Risk Management Guide
COSO’s new fraud guide is not mandatory but, says Tammy Whitehouse, public companies would be wise to study and consider it anyway because it could eventually become a requirement.