Appointment Blogs | Compliance Week – Page 94
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SEC invites companies to submit diversity assessments
The Securities and Exchange Commission, through its Office of Minority and Women Inclusion, has introduced a voluntary diversity self-assessment report. The Commission will also ask firms to submit diversity policies and practices.
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SWIFT and CSDs join forces to advance blockchain for post-trade
SWIFT and seven central securities depositories have signed a Memorandum of Understanding to work together to demonstrate how distributed ledger technology could be implemented in post-trade scenarios.
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Tone in the middle of an organization
What should the tone in the middle be? This role is critical because the majority of company employees work most directly with middle, rather than top management and, consequently, they will take their cues from how middle management will respond to a situation.
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Financial incentives in a compliance program
You must be able to evolve in your thinking and professionalism as a compliance practitioner to recognize the opportunities to change and then adapt your incentive program to make the doing of compliance part of your company’s everyday business process.
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GE, third-party risk, and Spotify’s IPO
General Electric is under investigation by the SEC, Spotify is raising eyebrows over IPO tactics, and Thailand’s fishing industry could spell out big third-party risk complications.
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The end of Japan Inc.?
What happens when a series of scandals so engulfs a country that its entire national brand is put in jeopardy? Japan may have the answer.
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VW: The comeback begins
VW is currently demonstrating it can use a corporate scandal to wipe the corporate slate clean by refocusing on the emerging technologies for a greater business share.
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CFTC charges executives for ongoing virtual currency scam
The CFTC announced that it is bringing commodity fraud and misappropriation charges related to the ongoing solicitation of customers for a virtual currency known as My Big Coin.
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CCO learning from the KPMG indictments
There is no doubt KPMG was under pressure to improve the firm’s audit practices, but how much pressure does it take for three national practice leaders to actively participate in an illegal scheme? CCOs need to study this case and think about their firm’s regulatory oversight.
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White House imposes tariffs on washing machines, solar panels
President Trump executed on his “America First” doctrine this week by declaring new tariffs on imported solar panels and washing machines. Critics fear the move is an opening salvo to a trade war with China.
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House Committee advances new roster of regulatory reforms
The House Financial Services Committee has advanced a new slate of 15 bills on to the full House and Senate for their consideration. Passage of several of the bills would offer financial institutions regulatory relief.
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St. Thomas Moore’s influence on the recast CFPB
The reshaping of the CFPB at the hands of Acting Director Mick Mulvaney continued this week: In an “all hands” memo, Bureau employees were prepared for a philosophical readjustment.
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Senate confirms Powell as chairman of Federal Reserve
A Senate vote this week confirmed Federal Reserve Governor Jerome Powell’s nomination to serve as the next chairman of the central bank. He replaces outgoing Fed Chairman Janet Yellen.
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Congress wants action on Wells Fargo regulatory plan
U.S. Senator Bob Menendez (D-N.J.), is among the concerned senators urging the Comptroller of the Currency to quickly act upon regulatory recommendations that emerged after last year’s fake accounts scandal at Wells Fargo.
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The three levels of due diligence
How to recognize and utilize each level of due diligence to fight corruption.
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What is a root cause analysis?
The Justice Department has mandated a root cause analysis should be performed for every incident rising to the level of a compliance violation. Is your team ready to do so?
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The end of the compliance defense debate
Over the years, there has been a siren’s call for the addition of a compliance defense to the FCPA. It’s time to send the so-called “compliance defense” packing.
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Amid fraud, conspiracy charges, should inspection results be restated?
Former KPMG leaders gamed up to two years of inspection results, federal authorities say, but no one will discuss whether those results can or should be corrected.
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Tesla offers CEO Elon Musk a monumental pay-for-performance deal
Under Tesla's proposed pay-for-performance compensation plan for CEO Elon Musk, his compensation will not fully vest unless the company grows its market cap to $650 billion, an increase of nearly $600 billion.
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FASB proposes rule change, offers guidance on tax reform
FASB is churning out guidance on how to account for the Tax Cuts and Jobs Act with a proposed change to accounting standards and a series of questions and answers.