All Compliance Week articles in Web Issue – Page 1000
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Blog
Cordium expands MiFID II offering with new Infrastructure Collateral Service
Cordium, a provider of governance, risk and compliance services, is enhancing its comprehensive MIFID II compliance offering for investment firms with the launch of its MIFID II Infrastructure Collateral Service.
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Blog
SEC offers relief, deadline extensions for hurricane victims
The SEC is providing regulatory relief to publicly traded companies and others unable to meet filing requirements due to hurricane damage and mail disruptions.
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Blog
FSOC lets AIG shed ‘systemically important’ status
The Financial Stability Oversight Council has de-designated AIG as a systemically important financial institution, a classification that had placed heightened prudential standards and regulatory expectations upon the non-bank.
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Blog
SEC’s Clayton provides update on EDGAR breach
An update issued by the SEC on Oct. 2 outlines projects and initiatives it has launched in the aftermath of a recently announced 2016 breach of the EDGAR filing system.
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Blog
With revenue adoption lagging, grim predictions unfold
Evidence is mounting that companies are way behind in complying with new revenue rules, prompting predictions of late filings, internal control weaknesses, even restatements.
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Blog
How to use sticks in a compliance program
The application of discipline is a key aspect to any best-in-class compliance program, and yet many companies have never disciplined any employee for ethical violations, writes The Man From FCPA.
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Blog
Using incentives in a compliance program
As stated in the FCPA Guide, compliance programs need to have in place recognized incentives for doing business. The Man From the FCPA discusses what important parts an incentive program may include.
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Article
Beyond the breach: SEC’s Clayton on clawbacks, fiduciary rules, and materiality
While much of his time before the Senate Banking Committee last week focused on a newly disclosed 2016 data breach, SEC Chairman Jay Clayton weighed in on numerous other topics.
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Article
Preparing for the U.K. Criminal Finances Act
A new law holds that companies active in the U.K. could be subject to U.K. criminal proceedings if an employee anywhere in the world facilitates tax evasion.
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Article
In cyber-security, you are your own worst enemy
Highly publicized breaches at the SEC and Equifax reveal how compliance efforts and reputation protection is often undermined by a lack of common sense.
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Blog
Bank of England: Risks posed by Brexit and LIBOR
In a report published this week, the Bank of England warned that Brexit poses “significant risks” to U.K. financial services companies, while also declaring publicly for the first time that LIBOR poses a financial stability risk.
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Blog
MassMutual appoints chief risk officer
MassMutual has appointed Geoffrey Craddock as chief risk officer, effective immediately. He joins MassMutual from its OppenheimerFunds, asset management affiliate.
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Blog
Cooper Standard names vice president of internal audit and compliance
Cooper Standard, a global supplier of systems and components for the automotive industry, has appointed Annemarie Kleabir to vice president, internal audit and compliance, effective Oct. 2.
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Blog
Has Uber turned a page?
Uber may finally be changing its tune and, this time, in a very public way, writes The Man From the FCPA.
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Article
The new trend in FCPA compliance is cooperation
We may be seeing the dawn of a golden age of FCPA compliance as organizations and the government learn to work together so everybody stays clean.
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Blog
easyJet: Flying through hoops to stay in Europe
The first in a series of case studies looking at Brexit compliance headaches examines what an airline must do in order to continue operating within the EU following a British exit from the Union.
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Article
Do CEOs have enough skin in the game?
A push may be coming to re-examine stock ownership guidelines with an eye toward increasing holding requirements.
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Article
How corruption in sports spills into compliance
The NCAA fraud and corruption scheme that has resulted in federal criminal charges against 10 individuals offers numerous lessons for the corporate compliance world at large.
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Blog
FASB proposes little fixes to big rules on financial instruments, leases
FASB is proposing new clarifications to its previously issued standards on the recognition and measurement of financial instruments and on leases.