Appointment Blogs | Compliance Week – Page 129
-
Blog
Linde FCPA probe ends in DoJ declination
The Department of Justice closed its investigation into industrial-gas supplier Linde for alleged violations of the Foreign Corrupt Practices Act without bringing an enforcement action, making it the first public declination under the Trump Administration.
-
Blog
CAQ offers blueprint for asking auditors about Form AP filings
Audit committees now have some talking points on how to engage auditors and management on the audit profession's new Form AP filing requirement.
-
Blog
Grenfell Tower offers grim reminder of third-party risk
Companies may need to audit how their products are used if they want to avoid being tainted by association with future disasters.
-
Blog
SFO charges Barclays in Qatar capital-raising case
The Serious Fraud Office has charged Barclays and four individuals with conspiracy to commit fraud and the provision of unlawful financial assistance contrary to the Companies Act.
-
Blog
Compliance in the 21st Century: Welcome to ComTech
Automation and artificial intelligence stand to increase efficiency in compliance by a quantum leap. But human compliance officers still have a role to play … if they prepare for it now.
-
Blog
To release or not to release inside information, that is the timing
The FCA Market Abuse Regulation is meant to deal with a wide range of possible market misconduct, but it does not synch cleanly with laws in other countries.
-
Blog
Kimberly-Clark names general counsel
Kimberly-Clark has appointed Jeffrey Melucci as senior vice president and general counsel, effective Sept. 1, 2017. Melucci succeeds Tom Mielke, who will retire in early 2018 following a transition period.
-
Blog
LockPath releases Keylight 4.7 with health and safety management solution
LockPath, a provider of GRC solutions, announced the availability of Keylight 4.7, now featuring the Health and Safety Manager application, a new addition to the Keylight Platform’s suite of applications designed to integrate risk management processes across the enterprise.
-
Blog
Accuity, USL partnership helps banks in Nigeria with payment transaction screening
Accuity, a provider of financial crime compliance, payments and know-your-customer (KYC) solutions, has signed a new partnership agreement with Union Systems Limited, an information-technology company supporting advanced software for banks and financial institutions in Nigeria, Ghana, and Kenya. The new partnership will help banks based in Nigeria expand the scope ...
-
Blog
Sailing, cycling, and compliance
A lesson from the America’s Cup Emirates Team New Zealand reveals that exploring past methods can improve your future compliance policies and ensure against possible Foreign Corrupt Practices Act violations.
-
Blog
Your business is being sold; what is your compliance response?
Tom Fox takes a closer look at the continuing saga of the 1 MDB scandal involving the Malaysian sovereign wealth fund and the need to have robust corporate compliance around all parties.
-
Blog
A new chapter in anti-corruption enforcement?
Jorge Luis Arzuaga, a former managing director at the Swiss bank Julius Baer, pled guilty to having arranged the transfers of more than $25 million in bribes for corrupt FIFA officials. This is the first guilty plea in the plethora of service provides who facilitated the massive corruption scandal engaged ...
-
Blog
Bryn Mawr Trust appoints chief risk officer
Bryn Mawr Bank Corporation, a financial services company, has appointed Patrick Killeen as chief risk officer and senior vice president of BMT’s risk management division, effective as of June 5.
-
Blog
Half of Fortune 500 still non-committal on new revenue rules
More than one-fourth of Fortune 500 filers still had not figured out how they will be affected by new revenue recognition rules as of April and May.
-
Blog
SEC slams CCO for anti-money laundering violations
The SEC has once again punished a CCO for neglecting their duties and ignoring red flags at a firm under investigation for suspect activities. Failing to file suspicious activity reports was at the root of the problem.
-
Blog
CFPB suggests changes to prepaid card rules
The CFPB is taking a fresh look at hardships for financial and consumer credit firms caused by a 2016 prepaid rule. The Bureau has also proposed updates to the rule.
-
Blog
Investors reward readable disclosures, study finds
It turns out investors really do value and reward plain-English disclosures, according to an emerging academic study.
-
Blog
Companies applaud NLRB's retreat from 'joint employer' guidance
The Department of Labor has withdrawn one of its most controversial actions of the Obama Administration, guidance that made many companies responsible for labor violations committed by independent franchisees and third parties.
-
Blog
Treasury releases first report on a regulatory overhaul
A slate of recommended regulatory actions are contained in a new report delivered to President Donald J. Trump by the Treasury Department. Suggested changes would affect big bank stress tests, the Volcker rule, and the CFPB.
-
Blog
Why one Republican voted against the CHOICE Act
The recent 233–186 House vote on the Financial CHOICE Act wasn’t neatly divided along parties. Rep. Walter Jones was the sole Republican who voted against the legislation, citing veterans' concerns.