All Internal Controls articles – Page 29
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ArticleCompanies consider employee travel bans as coronavirus proliferates
While not yet the norm, employee travel bans are being bandied about by companies across the globe in light of the increasing coronavirus risk; the policy could lead to a trend toward virtual meetings.
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ArticleCoronavirus safeguards mean corporate ghost towns in China
China’s economy may be stuck in neutral for months by mandated quarantines and business shutdowns as well as resistance from local authorities to issue work resumption permits.
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ResourceWhite paper: Behavior Change Science & Compliance
Influencing behavior is an ongoing challenge in compliance. Much of human behavior is the playing-out of patterns of neuro-associative responses to stimuli in our environment that are repeated and, eventually, become habitual.
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ArticleDiageo to pay $5M for disclosure failures
Alcohol producer Diageo has agreed to pay $5 million to resolve charges brought against it by the SEC for disclosure failures, due to weaknesses in its internal disclosure processes.
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PremiumSix veteran CCOs, 5 questions: Improving your compliance training
Six senior compliance practitioners offer their perspectives on what makes for an effective training program and share tips and guidance for companies looking to enhance their education initiatives.
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ResourceWhite paper: Why So Serious? How Humor Can Boost Your Compliance Training
We can all agree that most check-the-box compliance training is less than exciting. Actually, most of it is the opposite of exciting; it’s beat-your-head-on-the-desk boring. Venture outside of the box and add a few laughs.
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ArticleSpirit AeroSystems faces class action over accounting woes
In the wake of an ongoing accounting probe and the resignation of two top finance executives, Spirit AeroSystems is facing a class-action lawsuit filed on behalf of shareholders.
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ArticleCompliance training 101: Know your audience
Need to get something off my chest before I pass along lessons learned from poorly executed compliance training.
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ArticleSpecial report: Compliance training
If you’re worried about whether your curriculum is truly effective, start with 10 tips from CW columnist Amii Barnard-Bahn on how to take compliance training to the next level.
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ArticleConfronting ‘willful intent’ in third-party corruption cases
Even as companies continue to agree to multi-billion-dollar settlements related to the corrupt acts of third parties, managing the risks associated with them nevertheless eludes many compliance departments.
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ArticleSpirit AeroSystems CFO resigns amid accounting probe
The chief financial officer and principal accounting officer at aerospace giant Spirit AeroSystems have resigned amid an ongoing accounting probe triggered by a compliance review.
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ArticleEffective AML training: Four questions to answer
There are a multitude of factors that need to be established when determining training requirements. What is clear is that a one-size-fits-all approach doesn’t work.
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ArticleLessons from a CCO ‘in way over his head’
A recent court ruling tells the story of a former chief compliance officer that “literally had no idea what he was doing or what he was getting himself into” when he took the position at an investment advisory firm.
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ArticleSFO guidance could help companies combat U.K. Bribery Act charges
New internal guidance from the U.K. Serious Fraud Office outlines what the regulator considers in determining if a company’s compliance procedures are adequate enough to defend against U.K. Bribery Act charges or qualify for a deferred prosecution agreement.
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ArticleCompliance 2020: A timeline
Compliance Week looks back at two decades of scandals, enforcement actions, and regulatory policies (2000-2019) that shaped the compliance function we see today.
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ArticleTop 10 risks to keep executives on their toes in 2020
A new study from Protiviti and North Carolina State University not only highlights those risks companies should keep an eye on in the coming year—it also prompts leadership to explore whether or not they’re taking enough risks.
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PremiumTop ethics and compliance failures of 2019
From antitrust and privacy concerns in the tech world to compliance officer liability in the pharmaceutical industry to unethical practices in the banking and accounting professions, more than a dozen companies made Compliance Week’s list of the biggest compliance fails in 2019.
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ArticleApple, Walmart among compliance winners of 2019
Strong social stances, a dedication to doing what’s right, and leading by example highlight the qualities exemplified by our list of ethics and compliance winners of 2019.
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ArticleSEC cites ‘inadequate’ compliance in fraud charges against radio host
The Securities and Exchange Commission has charged Sacramento, Calif.-based radio host Keith Springer and his company with defrauding hundreds of retail clients. The SEC specifically singled out failures in Springer’s compliance program in its complaint.
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ArticleMost-trafficked content tells story of the compliance officer
Changes in the interests of our audience over the last several years help us to understand how much compliance officers must evolve in their jobs to meet the demands of a given time.