Appointment Blogs | Compliance Week – Page 118
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COSO publishes final version of updated ERM framework
COSO has released its newly revised enterprise risk management framework, giving companies a new tool to consider in building out their ERM approaches.
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FTI Consulting strengthens its Dispute Advisory Practice
FTI Consulting, a global business advisory firm, today announced that C. Paul Wazzan has joined the firm’s Dispute Advisory Services practice within its Forensic & Litigation Consulting segment as a senior managing director.
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Chubb broadens ERM solutions for cyber policyholders in U.S. and Canada
Property and casualty insurance company Chubb has broadened its enterprise risk management solutions for Chubb commercial cyber policyholders in the United States and Canada.
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Study asserts link between control weaknesses, fraud
Academics say they have identified a link between internal control weaknesses and later revelations of fraud, lending fresh support to key provisions of SOX.
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For leniency, confess all crimes
The JBS meat-packing scandal is a perfect example of why companies must provide every single shred of evidence of criminal conduct, or a plea agreement might not be worth much.
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There will be blood
A viral video of a nurse who was arrested for upholding her hospital’s own policy on permitting blood draws from non-consenting patients highlights the true challenges of compliance.
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Robert Jackson, architect of political spending petition, nominated to SEC
President Trump has nominated Robert Jackson, a professor at Columbia University and proponent of a controversial political spending disclosure rule proposal, to be a member of the SEC.
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SEC names director of DERA
The Securities and Exchange Commission has named Jeffrey Harris as director of the agency's Division of Economic and Risk Analysis (DERA). He replaces former director Mark Flannery, who left the agency to return to teaching.
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Chairman Clayton names executive staff
The Securities and Exchange Commission has named seven individuals to the executive staff of Chairman Jay Clayton.
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Nordson general counsel and secretary to retire
Nordson Corporation, an industrial equipment supplier, announced that vice president, general counsel and secretary Robert Veillette will retire from the company after 32 years of service, effective Dec. 31, 2017.
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SEC’s requirement for hyperlinks in filings now in effect
As of Sept. 1, rule and form amendments requiring hyperlinks are in effect. The changes were put in place by the SEC to make it easier for investors and other market participants to find and access exhibits in registration statements and periodic reports.
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Judge kills Obama administration's overtime rule
Judge Amos Mazzant of the Eastern District of Texas has invalidated the Obama administration’s controversial rules regarding overtime pay. The Labor Department was already considering a reproposal prior to the decision.
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SeaWorld, Mueller, and Congress
In case you missed it this week, Mueller sidles up to a new lawyer involved in Paul Manafort's probe, politicians are eyeing a particular bribery-related trial, and SeaWorld get's a criminal investigation
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MTS Systems: FCPA probes close with no action
MTS Systems, a global supplier of test systems and sensing solutions, said in a quarterly filing this month that it will not be facing an enforcement action regarding a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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Wells Fargo boosts number of unauthorized accounts to 3.5M
A review commissioned by Wells Fargo has increased the number of falsified accounts at the bank from 2.1 million to nearly 3.5 million. Last year, the CFPB fined the bank for the “widespread illegal practice of secretly opening unauthorized deposit and credit card accounts.”
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PCAOB sees some improvement, yet room for more
Based on its latest round of audit inspections in 2017, the PCAOB found some improvement at some firms, but still plenty of work to do to meet standards.
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Sen. Duckworth wants FBI investigation on former Trump adviser Carl Icahn
Sen. Tammy Duckworth (D-Ill.) is asking the FBI to launch an investigation into "potential violations of federal law" by Carl Icahn, a billionaire investor and former adviser to President Trump on regulatory matters. Icahn is accused of conflicts of interest connected to that advisory role.
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CFTC fills vacancies with new commissioner, chief economist
Earlier this month, Brian Quintenz was officially sworn in to serve as a commissioner on the Commodity Futures Trading Commission. Joining him will be Bruce Tuckman, an internationally-recognized economist and expert in modern derivatives markets, as the agency’s chief economist.
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Hensarling: CFPB director speeding through rules to fuel political ambitions
Jeb Hensarling (R-Texas), chairman of the House Financial Services Committee, is escalating attacks on CFPB Director Richard Cordray. In a letter this week, he accuses Cordray of rushing to finalize payday loan regulations to suit his political ambitions and a potential run for governor in Ohio.
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FTC’s speedy approval of Amazon/Whole Foods deal draws scrutiny
Sen. Amy Klobuchar (D-Minn.) is questioning the speed of the FTC’s review and approval of Amazon's blockbuster acquisition of Whole Foods. “I am concerned about the decision not to fully review [the deal],” she says.