All Internal Controls articles – Page 31
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Article
Swedbank announces governance overhaul, launches culture probe
Swedbank CEO Jens Henriksson announced the financial institution is making some major organizational changes “to create simpler and clearer decision-making structures to facilitate the realization of the bank’s strategy.”
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ArticleAsk Amii mailbag: 8 tips for workplace time management
Too many meetings, too little time? In the latest edition of the Ask Amii mailbag, executive coach Amii Barnard-Bahn offers tips on how to reset your corporate calendar and better prioritize your time.
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Article
Compliance called out in Liberty Tax DOJ settlement
The Department of Justice is requiring Liberty Tax Service to greatly enhance its internal compliance controls as part of a proposed settlement with the tax preparation service provider over allegations of fraud and misconduct.
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ArticleBGC Financial to pay $3M for supervisory failures
BGC Financial was accused of various supervision, reporting, and recordkeeping violations that went on for more than five years in a $3 million enforcement action from the CFTC.
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Article
Hong Kong, Singapore regulators fine UBS $59M for client overcharges
Swiss bank UBS will pay $59 million in total civil penalties in resolutions with both Hong Kong and Swiss regulators for overcharging clients for over a decade.
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ArticleSpecial report: Maturing in your technology journey
Results of Compliance Week’s second annual technology survey suggest companies are moving along the technological maturity curve in ways that are both quantitative and qualitative compared to last year.
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ArticleSurvey: Workplace equality issues top of mind for European employers
Improving workplace equality is on the list of concerns and priorities for European employers, with many moving to address equal pay and workplace harassment, according to the findings of a newly released survey.
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ArticleInternal control best practices for blockchain technology
Those in accounting who want to understand better the inherent risks, threats and vulnerabilities, and internal control best practices associated with the use of blockchain technology now have a first-of-its-kind framework to follow.
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ArticleAsk Amii mailbag: What makes a champion of culture?
In the latest edition of the Ask Amii mailbag, executive coach Amii Barnard-Bahn offers a checklist for measuring ethical culture, three guideposts for promoting culture at a startup, and her take on getting the right mix of in-person and virtual trainings.
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ResourceWhite paper: Eliminate Manual Madness to Simplify Your Financial Processes
Learn how to eliminate manual processes and mitigate risks within your month-end close.
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ResourceWhite paper: 12 Lessons from One Trillion Screens
Now that RDC has carried out one trillion screens they assure you, efficient compliance screening is possible.
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Article
Carnival enhances its ethics and compliance function
As part of its new companywide ethics and compliance function stemming from a history of environmental violations, Carnival has announced seven new hires and internal promotions.
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ResourceWhite paper: Leveraging Microsoft Office 365 for Policies and Procedures Management
In today’s business climate, policy and procedure management is essential to stay in compliance and create a solid foundation that will enable organizations to communicate effectively, foster a sense of company cohesion, develop employee engagement, and reduce noncompliance.
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ArticleTime to reassess the meaning of ‘compliance’
Deutsche Bank is just the latest scandal-plagued bank to make headlines, once again, for ignoring sound compliance advice. Maybe it’s time to eliminate the entire concept of compliance altogether, writes an exasperated Jaclyn Jaeger.
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ArticleCompliance lessons from recent nine-figure FCPA settlements
Walmart, TechnipFMC, Fresenius—just to name a few—have all fallen prey to the Foreign Corrupt Practices Act in a record year of jacked-up enforcement and sky-high penalties.
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ArticleAsk Amii mailbag: Using compliance skill sets to influence operations
In this “Ask Amii” mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn discusses the pros and cons of outsourcing compliance, breaking tough news to business partners, and how to transfer compliance skills out of finance.
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ResourceWhite paper: Sustainability and the board: What do directors need to know?
With growing investor attention to sustainability, there is often greater emphasis on the governance element (the “G”) of ESG (environmental, social, and governance) and the board’s fiduciary duty to oversee a company’s strategy, risk, and capital allocation.
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ArticleLabeling employee a ‘compliance risk’ not defamation, says court
A former Biomet Argentina employee—in a bit of FCPA hot water—landed on his company’s restricted persons list, sued for defamation, and lost.
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ArticleProPetro shuffles leadership team amid accounting probe
ProPetro Holding has announced a shuffling of its executive leadership team following the completion of a review conducted by its audit committee into a series of internal control failures.
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ArticleAsk Amii mailbag: Keeping up with AI, global compliance norms
In this “Ask Amii” monthly mailbag, executive coach and former Chief Compliance Officer Amii Barnard-Bahn explores the future of compliance and best practices for establishing your program in a non-U.S. domain.