Appointment Blogs | Compliance Week – Page 79
-
Blog
FIFA and more red flags
The latest FIFA corruption scandal should serve as another lesson in identifying and investigating red flags.
-
Blog
The BSGR saga continues
The latest chapter of this real-life page-turner was the World Bank’s recent ruling against a mining company in the continuing legal dispute to strip its concession for the Simandou region in Guinea.
-
Blog
Three key compliance messages to communicate to employees
Effective communication with employees is as important to a successful compliance program as the policies themselves.
-
Blog
Coalition forms to wrestle blockchain accounting issues
Accounting and tax professionals have formed a grassroots coalition to get their arms around blockchain and what it will mean for accounting and audit.
-
Blog
SEC commissioners argue for increase to monetary cap on Regulation A
SEC Commissioners Michael Piwowar and Hester Peirce are breaking ranks with their peers over the monetary cap assigned to Regulation A exemptions. They want to boost the offering limit for the under-used exemption from $50 million to $75 million.
-
Blog
SEC sets date to debate its own fiduciary duty rule
After months of parsing through comment letters and collecting financial industry feedback, the SEC is ready to inject itself in the controversial effort to create a fiduciary duty regulation for broker-dealers and investment advisers. The Commission has scheduled an open meeting on Wednesday, April 18, to debate a potential rule ...
-
Blog
CAQ arms directors with cyber risk roadmap
To stoke more board inquiry on cyber-security, the CAQ has published a primer on questions that management and external auditors should be ready to answer.
-
Blog
Three steps to fitting compliance into long-term business strategy
Incorporating the compliance function into a long-term business strategy starts with answering three important questions.
-
Blog
Sempra Energy names chief accounting officer
Sempra Energy has announced several executive appointments as the company implements its leadership succession plan, including the appointement of Peter Wall as vice president, controller, and chief accounting officer, effective May 1.
-
Blog
DoJ: Seized Website was a hotbed of sex, trafficking, money laundering
The Justice Department this week seized backpage.com, an online forum for prostitution ads, including those related to child trafficking. Days later, President Trump signed into law a bill that carves away one-time legal protections for such sites.
-
Blog
Federal Reserve floats simplified capital rules and stress tests
The Federal Reserve Board is seeking public comments on a proposal intended to simplify its capital rules for large banks and potentially loosen requirements for the stress tests administered to them.
-
Blog
Williams named president and CEO of New York Fed
John Williams, current chief executive officer of the Federal Reserve Bank of San Francisco, has been appointed to the same position at the Federal Reserve Bank of New York. He will replace current president William Dudley in June.
-
Blog
CFPB seeks public input on complaint collection
Amid its current overhaul under new leadership, the Consumer Financial Protection Bureau is seeking feedback on its process for logging consumer complaints.
-
Blog
AGs sue Trump Administration over Clean Air Act
A coalition of attorneys general has filed a lawsuit against the Trump administration and the EPA for “ignoring its legal duty to control emissions of methane, an extremely potent greenhouse gas, from existing oil and gas operations.”
-
Blog
Ellison questions HHS hire from CVS Caremark.
Rep. Keith Ellison (D-Minn.) is asking Department of Health and Human Services Secretary Alex Azar for an explanation of the decision to hire CVS Caremark Vice President Daniel Best to lead the agency’s drug pricing reform effort.
-
Blog
Rosenthal Collins Group appoints chief risk officer
Rosenthal Collins Group, an independent futures brokerage and clearing firm, has appointed Steve Ivey as executive vice president and chief risk officer.
-
Blog
GAM names group general counsel
Asset management firm GAM announced that it has hired Rachel Wheeler as group general counsel.
-
Blog
New PCAOB takes fresh look at auditor independence
The all-new PCAOB is taking a fresh look at whether auditors need new guidance on their required communication with audit committees regarding independence.
-
Blog
Financial Conduct Authority 2018/19 business plan focuses on Brexit
The Financial Conduct Authority published its Business Plan for 2018/19, setting out its key priorities for the coming year, much of which reflects the resources needed to prepare for withdrawal from the European Union.
-
Blog
Mark Thompson named interim director of the SFO
The Attorney General’s Office announced that Mark Thompson, currently chief operating officer at the Serious Fraud Office, will be appointed SFO director on an interim basis pending the next permanent director becoming available.