All United States articles – Page 204
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Article
Senate confirms Jeffrey Rosen as deputy attorney general
The U.S. Senate has confirmed Jeffrey Rosen to be the next deputy attorney general, replacing Rod Rosenstein.
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Article
FASB revises CECL to resolve dual measurement glitch
FASB has finalized a small change to CECL to help companies that were facing a conundrum based on a fair-value election elsewhere in GAAP.
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Article
A new CCO’s Herculean task at Wells Fargo
Compliance Week chats with Wells Fargo CCO Mike Roemer about the challenge of rebuilding trust at a company that’s been the poster child of compliance and risk management gone wrong.
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Article
U.S. could ban all Huawei products
New moves from the Commerce Department suggest a full domestic ban on products from the Chinese telecom giant Huawei are forthcoming.
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Article
Non-banks still have plenty of work ahead to adopt CECL
Efforts to adopt CECL are generally underway in the banking sector, but companies outside financial services may still have plenty to do.
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Article
SEC approves ‘long-term’ stock exchange
The SEC has approved a new national securities exchange committed to long-term investing.
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Article
OCIE’s Driscoll on importance of CCOs
Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.
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Article
California groups sue CFPB for shirking Dodd-Frank data collections
Two advocacy groups are suing the Trump administration and CFPB for failing to disclose data on lending to women-owned, minority-owned, and small businesses.
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Article
How to determine when enhanced due diligence is warranted
It can cost time and money and could even drown a deal. So when do the challenges and costs associated with this step outweigh the risks of not doing it?
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Article
Poll shows room for improvement on training third parties
Results from the Compliance Week and Refinitiv survey revealed some surprising facts about companies’ third-party training; based on those results, the following article offers suggestions for how to enhance the process.
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Article
Identifying high-risk third parties a nuanced exercise
Determining which business partners to flag for enhanced due diligence all depends on the quality, and sources, of your data.
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Article
Dark Web grows as an investigative tool
A telling detail uncovered in the 2019 Survey on Anti-Bribery & Corruption was that about 6 percent of respondents said they extend their data searches into the “Dark Web.”
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Article
Anti-bribery and anti-corruption survey
The 2019 Survey on Anti-Bribery & Corruption explores everything from the monitoring of third parties to the evaluation of training programs.
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Article
Former Autonomy CFO sentenced to 60 months in prison
Sushovan Hussain, the former chief financial officer of U.K. software firm Autonomy, has been sentenced to 60 months in prison for his role in falsifying the company’s revenues prior to its acquisition by Hewlett-Packard.
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Article
Informatica to pay $21.57M in False Claims Act case
The Department of Justice says Informatica will pay over $21 million stemming from a False Claims Act investigation.
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Article
FinCEN elaborates on virtual currency risk, obligations
SARs and due diligence are cited as effective tools for avoiding virtual currency malfeasance, says the Financial Crimes Enforcement Network.
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Article
SEC proposes actions to bolster cross-border swap rules
The SEC has proposed a package of rule amendments and guidance for improving the regulation of cross-border swaps transactions.
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Article
SEC amendments could tailor accelerated filer definitions
The Securities and Exchange Commission has voted to propose amendments to the accelerated filer and large accelerated filer definitions.
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Article
Antitrust Division joins Framework on Competition Agency Procedures
The Justice Department’s Antitrust Division has joined the Framework on Competition Agency Procedures as a founding member.
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Podcast
Mary Shirley on traveling in compliance
Mary Shirley, senior director of ethics and compliance at Fresenius Medical Care and a 2019 Top Minds recipient, details to columnist Tom Fox the adjustments she’s made in working in compliance across the globe.