All Compliance Week articles in Web Issue – Page 281
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CCOs face SEC charges over conflicts of interest
Two chief compliance officers—one former, one current—are facing charges from the SEC as part of a lawsuit filed against a California-based investment advisory firm over failure to disclose financial conflicts of interest.
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SEC: Potential impact of coronavirus on audit quality
The SEC and PCAOB have issued a joint statement updating their recent conversations with audit firm leaders on audit quality oversight challenges in China, including the potential impact of the coronavirus on financial disclosures and audit quality.
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Tax planning opportunities for 2020 lead to potential tax savings
Grant Thornton has released guidance on tax planning for both public and private companies to help them get started by asking the right questions.
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Whistleblowers finding system stacked against them
Are whistleblowers getting the short end of the stick? A recent case highlights one way in which the process for government rewards might be perceived as unfair.
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Sen. Gillibrand floats agency to oversee U.S. privacy
Senator Kirsten Gillibrand (D-N.Y.) has introduced legislation to create a “Data Protection Agency” in the United States in order to oversee and enforce federal privacy mandates.
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SeaWorld Entertainment to pay $65M in shareholder class action
SeaWorld Entertainment disclosed in a recent regulatory filing it has reached a $65 million settlement to resolve a class-action lawsuit over allegations investors were misled about the impact of the 2013 documentary film Blackfish.
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Bombardier’s compliance program progressing, says review
A recent review of Bombardier’s compliance policies and procedures details how the Canadian multinational aerospace and transportation company is “working towards having a best-in-class program.”
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Antitrust Division remarks on changes to model corporate plea agreement
The DOJ’s Antitrust Division last year quietly updated language contained in its “Model Annotated Corporate Plea Agreement,” as it applies to cooperation. Recent remarks provide more color around those changes.
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Tesla: One SEC investigation ends; another begins
Electric car maker Tesla announced in a regulatory filing that the Securities and Exchange Commission has closed a previously announced investigation while also launching another, this time into Tesla’s financing arrangements.
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Ireland raid over privacy concerns jilts Facebook Dating
Facebook wants to play Cupid in Europe, but the Irish Data Protection Commission got its arrow in the tech giant first.
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DOJ indictment alleges Huawei fraud, trade secrets theft
The Department of Justice unveiled a fresh round of allegations against Chinese tech giant Huawei, including racketeering, theft of trade secrets, and bank fraud.
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Understanding the why in CDD
Compliance practitioners might know how to undertake customer due diligence, but may never ask themselves why and might have limited knowledge of other anti-money laundering areas.
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FASB Chairman Golden’s agenda setting 101
Have you ever wondered how FASB decides what issues to include in its technical agenda? Chairman Russell Golden explained recently the process for identifying the right accounting issues to address.
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Treasury Secretary sets goal for cryptocurrency regulation
Taking into account the Trump administration’s trade concerns involving cryptocurrencies, the Treasury Department has announced it will roll out new regulations later this year.
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More than minor changes? Assessing the latest CCPA updates
The business community was already rushing to comply with the CCPA’s Jan. 1 effective date. But does this latest change ease the way to compliance or just raise more questions?
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Resource
White 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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Google begins argument to try to overturn $9B in EU fines
Attorneys for Google, seeking to overturn $9 billion in EU antitrust fines, argued in a European court Wednesday that the tech giant should not be forced to prop up its competitors in the course of promoting facets of its own business.
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Spirit 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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Airbus contractors feeling ripple effect from record fine
Airbus is free to go about its business after paying a record fine to three anti-corruption agencies for widespread bribery, but the trouble is only beginning for some of its implicated contractors.
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Powell: Legislation to address LIBOR transition unlikely
Federal Reserve Chair Jerome Powell told Congress he does not expect federal legislation will be needed to address the demise of the London Interbank Offered Rate, which is set to expire in 2021.