Articles | Compliance Week – Page 275

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Navigating the risks of individual accountability for corporate wrongdoing

2016-11-22T13:45:00Z

How can directors and officers better protect themselves and their organizations in a post-Yates Memo era of accountability? Kevin Hyams has some answers.

Article

Biggest companies wrapping up revenue recognition studies

2016-11-22T13:30:00Z

Big companies are wrapping up revenue recognition assessments and determining what to disclose to investors at year-end. Tammy Whitehouse has more.

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Compliance officers scratch heads as U.S. trumps Brexit

2016-11-22T11:00:00Z

Somehow, the election of Donald Trump as U.S. president is likely to make compliance officers’ jobs both harder and easier. Paul Hodgson explains.

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AML strategies keep evolving, and so do the risks

2016-11-22T09:45:00Z

New and evolving technology may help institutions avoid AML and KYC compliance risks, or restore a damaged reputation, says Joe Mont, but not without the right strategy and training in place.

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White’s SEC departure inspires reflection, fear of ‘midnight regulations’

2016-11-22T09:30:00Z

Chairman Mary Jo White’s pending departure from the SEC has inspired a look back at her accomplishments and encouraged advice for her successors. Joe Mont reports.

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Modern slavery: the global construction industry’s open secret

2016-11-17T10:15:00Z

The global construction industry is a hotbed of criminal labour exploitation, but alert compliance officers can do something about it. More from Paul Hodgson.

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Trump presidency: Thoughts on regulatory changes from Europe

2016-11-17T09:45:00Z

Neil Hodge explores promised “regulatory reform” under the new Trump regime; what’s in store for America—what’s in store for the world?

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What President Trump means for regulation and regulators

2016-11-15T18:00:00Z

A Trump administration promises to roll back the SEC, the CFPB, Dodd-Frank, and Obamacare. But that is all much easier said than done, reports Joe Mont.

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Tax reform looks likely, but companies advised to hold tight

2016-11-15T11:45:00Z

Under a Trump presidency and a GOP Congress, corporate tax reform is considered inevitable. Tammy Whitehouse asks: Should companies alter tax planning or compliance activities?

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Q&A: NACD Managing Director Steven Walker on continuous improvement for boards

2016-11-15T11:00:00Z

Joe Mont talks with Steven Walker of the National Association of Corporate Directors about the need for continuous improvement to corporate boards.

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Regulators send a perverse message by using our compliance programs against us

2016-11-15T10:30:00Z

The degree to which organizations’ compliance programs are being used against them by regulators is creating a perverse incentive system, writes Joe Murphy.

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Don’t worry—the need for compliance officers trumps deregulation

2016-11-15T10:15:00Z

Just because Donald Trump suggested getting rid of a host of federal regulations doesn’t mean that there won’t be a need for compliance. More from Jaclyn Jaeger.

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The smart money is on corporate social responsibility

2016-11-15T10:00:00Z

Corporate social responsibility isn’t just a feel-good exercise. It pays off huge dividends in the problems it prevents, writes Jaclyn Jaeger.

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Social media compliance is growing up, with new tools, challenges

2016-11-15T09:30:00Z

As the financial services industry embraces social media, its compliance officers need new tools to make sure nothing slips through the cracks. Tim Sprinkle explains.

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Rare FCPA action puts financial services firms on notice

2016-11-08T15:15:00Z

Thanks to wayward hedge fund Och-Ziff, the entire finserv world might face an FCPA sweep. Compliance officers, take note. Jaclyn Jaeger reports.

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Despite heightened risks, auditors limit cyber-questions

2016-11-08T15:00:00Z

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

2016-11-08T15:00:00Z

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

2016-11-08T11:30:00Z

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

2016-11-08T11:30:00Z

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

2016-11-08T10:45:00Z

Yes, there still remains some uncertainty about the SEC’s conflict minerals rule. Four years later, notes Joe Mont, add another concern: cobalt.