Appointment Blogs | Compliance Week – Page 209
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Opus Bank names chief risk officer
Opus Bank has appointed Dwayne Sharpy has joined Opus as chief risk officer and has been appointed to Opus’ executive committee.
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Neustar appoints chief risk officer and chief information security officer
Neustar, a provider of real-time information services, has appointed Tom Pageler as chief risk officer and chief information security officer. In his role, Pageler will be responsible for security governance and risk management, information security and operations, compliance and physical security.
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TMG Health appoints chief compliance officer
TMG Health, a provider of business process outsourcing solutions to the Medicare Advantage, Medicare Part D and Managed Medicaid markets, has appointed Keisha Pinnock as chief compliance officer.
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Largest companies more often miss filing deadlines, new report shows
A recent report from Audit Analytics finds that large accelerated filers, or those with a public float greater than $700 million, are finding it difficult to get their annual reports filed on time. In 2010, says Tammy Whitehouse, only 10 large accelerated filers gave notice to the markets that their ...
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Trace International launches first global beneficial ownership registry
TRACE International, a non-profit business association that pools resources to provide members with anti-bribery compliance support, today launched TRACEpublic, the first global registry of beneficial ownership, developed in direct response to the risks inherent in secret company ownership, highlighted by the Panama Papers.
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Intacct launches solution to address new revenue recognition guidelines
Intacct, a provider of cloud ERP software, announced the launch of Intacct Contract and Revenue Management, an automated solution to help companies navigate the complexities created by the upcoming ASC 606 and IFRS 15 revenue recognition guidelines.
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Join me at Compliance Week 2017
Plan to attend Compliance Week 2017 to learn about the continued growth and operalization of compliance. Why should you consider attending an event one year out? It is because of the strength and character of Compliance Week 2016 that you should block this time off and plan to attend next ...
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Bloomberg revamps counterparty onboarding process with Entity Exchange
Bloomberg announced the launch of its Entity Exchange platform, a web-based, centralized and secure solution that enables buy-side firms to provide entity data and documentation to their trading counterparties.
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Congress to SEC: You'll get nothing and like it
Twice in recent years, the House Appropriations Committee's approved budget for the SEC has been $222 million less than the SEC requested. For FY 2017, the SEC requested a budget of $1.781 billion. Anyone care to guess what the Committee approved?
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Key theme from Compliance Week 2016
The continued evolution of the Chief Compliance Offiicer and compliance function was a key theme from Compliance Week 2016.
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BlogCW2016: SEC and DoJ speak on personal liability
Enforcement heads from the SEC and Department of Justice kicked off Compliance Week 2016 in Washington D.C. this week, speaking candidly about compliance program effectiveness, personal liability, and much more. Jaclyn Jaeger reports.
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PwC proposes SOC 2+ to dig into third-party risk
PwC has developed a framework to add to the assurance provided by an SOC 2 report (an AICPA report focused on controls around security, processing integrity, and privacy). PwC calls it an “SOC 2+” approach, building on the SOC 2 reporting principles by allowing a more independent, standardized assessment. Tammy ...
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SEC awards two more whistleblowers
The SEC is awarding more than $450,000 to two individuals for a tip that led the agency to open a corporate accounting investigation and for their assistance once the investigation was underway. The whistleblower award is the third announced by the SEC in the past week, says CW’s Jaclyn Jaeger, ...
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FINRA fines compliance officer for AML compliance failures
The Financial Industry Regulatory Authority has fined Raymond James & Associates and Raymond James Financial Services a total of $17 million for widespread failures related to the firms’ anti-money laundering programs. RJA’s former AML compliance officer was also fined and suspended for three months.
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FCA advises on new EU Market Abuse Regulation
The Financial Conduct Authority has published changes to its handbook, “Disclosure Guidance and Transparency Rules,” to help U.K.-listed companies comply with new EU Market Abuse Regulation (MAR) from 3 July this year. The handbook and MAR cover a very wide range of “market abuse” issues, such as insider dealing, improper ...
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Seven myths of boards of directors—part II
Last month, Rick Steinberg looked at myths around corporate governance, including accusations levied by some institutional investors and others. Here he looks at more such myths, with analysis and insight into which claims are on point—and which are not—along with how some accusers appear to be seeking to serve their ...
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Compliance metrics and dashboards: building your case
Jose Tabuena explores how companies and, specifically, chief compliance officers can demonstrate the effectiveness of their compliance programs and be seen as creditworthy in the eyes of the U.S. Sentencing Guidelines.
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CCO independence as key indicia of best practices compliance program
At the annual Compliance Week conference, U.S. Justice Department and Securities and Exchange Commission representatives spoke about what constitutes an effective compliance program under the Foreign Corrupt Practices Act and the increased importance of an independent chief compliance officer. Our Man From FCPA Tom Fox explores further.
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SEC issues new guidance on use of non-GAAP accounting
The SEC has updated its Compliance & Disclosures Interpretations guidance with a dozen new Q&As focused on how companies might report financial information outside the realm of Generally Accepted Accounting Principles without also running afoul of financial reporting requirements. More from Tammy Whitehouse.
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60 Minutes: The inside story of the fall of Roomy Khan and Raj Rajaratnam
Bruce Carton offers a look at a 60 Minutes piece called “Inside Edge” about former stock analyst Roomy Khan, who was caught early by federal prosecutors investigating insider-trading by hedge funds and ultimately became a critical government informant in the criminal case that brought down Galleon Group's Raj Rajaratnam and ...