Appointment Blogs | Compliance Week – Page 148
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Department of Justice guidance: ‘Evaluation of Corporate Compliance Programs’
With little fanfare, the Department of Justice last week published a list of sample topics and questions, entitled the “Evaluation of Corporate Compliance Programs.” Ethics and compliance officers will find the document useful as it provides a more explicit explanation as to what common questions the Fraud Section may ...
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SEC, NASAA sign info-sharing agreement for crowdfunding
The North American Securities Administrators Association, representing the interests of state securities agencies, and the Securities and Exchange Commission signed an information-sharing agreement as new rules to facilitate intrastate crowd-funding offerings and regional offerings take effect. Jaclyn Jaeger has more.
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Spain and the fight against royal corruption
A guilty verdict that sent the brother-in-law of the King of Spain to jail for fraud could signal that Spain is getting serious about corruption. Tom Fox says it was the first time a member of the Spanish royal family had been forced to stand trial, a move widely applauded ...
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A South American response to corruption
In a very interesting development from the Odebrecht corruption scandal, federal prosecutors in Brazil and ten other countries recently announced they had agreed to cooperate in ongoing investigations surrounding the company, writes The Man From FCPA Tom Fox.
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On the evaluation of corporate compliance programs
Tom Fox looks at the Justice Department’s “Evaluation of Corporate Compliance Programs,” an 11-part list of questions that encapsulates the Justice Department’s most current thinking on what constitutes a best practices compliance program.
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Audit change data shows differences at Big 4 firms
In the churn for new auditors, one Big 4 firm has held steady with its net number of audit clients while three others have seen net losses numbering in the 20s. Tammy Whitehouse has the results of the latest data from Audit Analytics.
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New IIA Pulse report will focus on overlooked risks
An upcoming report from the Institute of Internal Auditors will tell audit executives to turn their attention to overlooked risks as a way to win more confidence.
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Trump signs bill repealing extractive payments rule
President Donald Trump has signed legislation repealing controversial rules designed to heighten transparency in the oil and natural gas industry. Jaclyn Jaeger has more on reaction from the oil and gas industry.
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Toyota appoints group vice president, chief compliance officer
Toyota Motor North America (TMNA) has appointed Jacqueline Thomas group vice president, chief compliance officer.
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FASB to host roundtables on defining materiality in GAAP
FASB is hosting roundtable meetings in March to discuss defining materiality in accounting standards, a can of worms it opened in 2015 in connection to disclosures.
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Global anti-corruption enforcement numbers going up
Tom Fox discusses the reasons behind the rise in anti-corruption enforcement and the latest actions by the Securities and Exchange Commission and Department of Justice.
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Asian corporate governance codes unlocked
The corporate governance expectations across Asia are both more widely varied, and in harmony with each other, than one might expect. But there is still a great deal of information to track. Paul Hodgson gets into the details.
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Individual prosecutions as deterrence
Perhaps it’s not the penalties and fines, but rather the individual prosecutions that deter bad behavior. The Man From FCPA Tom Fox reports.
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Why bribery is bad for business
The Man From FCPA Tom Fox explores what happens when a company’s foundation is shaky and illegal.
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The Fourth Estate and the fight against corruption
‘When one plank of the fight against bribery and corruption’ falters, the media steps in. Tom Fox looks at the press’s role in fighting crime.
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Stephen Cohen Joins Sidley
Stephen Cohen, former Associate Director in the Securities and Exchange Commission Division of Enforcement, has joined law firm Sidley Austin. He will be a member of Sidley’s securities and derivatives enforcement and regulatory practice.
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Tipalti tax ID and document collection capabilities now cover 50 countries
Tipalti, a provider of global supplier payments automation, now supports more than 3,200 new tax validation rules across 47 countries to help finance teams keep up and stay compliant with the complex and ever-changing tax and regulatory rules across the globe.
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Romanians take a stand against corruption
What does the Romanian people's revolt against igovernment's proposal to decriminalize bribery and corruption within the country mean on a larger scale? The Man From FCPA Tom Fox says they have earned the right to say to Washington: “the whole world is watching.”
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SFO investigates ABB over Unaoil
The U.K. Serious Fraud Office has commenced an investigation into the activities of ABB’s U.K. subsidiaries, their officers, employees, and agents for suspected offenses of bribery and corruption. Jaclyn Jaeger has more.
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RedCrow appoints chief compliance officer
RedCrow, a new equity crowdfunding platform, has appointed Chris Laia as general counsel and chief compliance officer. Laia will report to RedCrow CEO and Founder Brian Smith.