All Compliance Week articles in Web Issue – Page 314
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Article
Market punishes auditors who flag control issues, study says
Auditors walk a fine line in reporting adverse internal controls, straddling regulators when they fail to flag weaknesses but punished in the market when they do.
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Article
CFTC files charges over fraudulent binary options trading scheme
The CFTC is pursuing enforcement against five entities and four individuals for engaging in a fraudulent scheme to solicit global customers for the purported purpose of trading illegal, off-exchange binary options.
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Article
Penn State names chief risk officer
Penn State has named Jennifer Santiago as its new assistant vice president of risk management and University risk officer, effective Sept. 12.
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Article
Still under probation, Carnival names chief ethics and compliance officer
Under probation for a history of environmental violations and ordered to restructure its compliance program, Carnival has appointed a new chief ethics and compliance officer as well as a vice president of corporate environmental compliance.
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Article
Regulatory events coming this fall
Check out information on upcoming events from such regulators as the PCAOB, FDIC, SEC, DOJ, and more.
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Resource
White paper: ASC 842 and IFRS 16: 5 Lessons Learned for a Smoother Transition
The long-term impact of the new lease accounting compliance standards has yet to be seen, but the implementation issues facing many entities have become increasingly evident.
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Article
Allscripts $145M settlement indicative of broader enforcement trend
Allscripts Healthcare Solutions has reached a $145 million agreement in principle with the DOJ to resolve civil and criminal investigations into violations of HIPAA and anti-kickback laws.
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Article
Former KPMG, PCAOB leader gets prison time in inspections scandal
A former audit inspector and executive director at KPMG was sentenced to eight months in prison after entering a guilty plea related to a scheme to steal inspection plans.
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Article
Facebook loses appeal, faces costly privacy class action
The ruling of a federal appeals court has Facebook once again at risk of facing fines north of $1 billion for alleged misuse of users’ biometric data.
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Article
Maxar Technologies appoints chief accounting officer
Maxar Technologies, a provider of advanced space technology solutions, has appointed Carolyn Pittman as chief accounting officer. She became the company’s principal accounting officer on Aug. 7.
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Article
A critical review of the SFO’s DPA process
Companies considering entering a deferred prosecution agreement with the U.K. Serious Fraud Office might instead want to take their chances with a trial following the outcomes of a trio of recent high-profile corruption cases.
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Article
HDI Global appoints general counsel and corporate secretary
HDI Global Insurance (HDI) has appointed Patricia Ryan as general counsel and corporate secretary with immediate effect.
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Article
SEC proposes to modernize Regulation S-K disclosures
The SEC is seeking comment on proposed amendments to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make under Regulation S-K.
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Article
Ex-KPMG partner to pay $125K in insider trading case
A former KPMG partner charged by the SEC with insider trading has been ordered to pay a civil penalty of $125,000 and suspended from appearing or practicing before the Commission as an attorney or accountant.
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Article
Both investors, companies unhappy with FASB’s tax disclosure proposal
Accounting rulemakers have their work cut out for them trying to determine how to meet investors’ needs for information about corporate tax risks without breaking preparers’ backs.
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Video
Compliance conversation with Preet Bharara
Former U.S. Attorney Preet Bharara shares anecdotes on compliance and internal communication during this series of excerpts from his keynote at Compliance Week’s 2019 annual conference in Washington D.C.
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Video
CW2019 clip: Kristy Grant-Hart keynote
Compliance expert and best-selling author Kristy Grant-Hart lays out her process for decision making in the profession in this excerpt from her inspirational keynote at Compliance Week’s 2019 annual conference in Washington D.C.
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Video
CW2019 clip: Hui Chen keynote
Compliance and ethics pioneer Hui Chen comments on employee training overload in this excerpt from her keynote at Compliance Week’s 2019 annual conference in Washington D.C.
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Video
CW2019 clip: Stefan Passantino keynote
Stefan Passantino, former head of the White House C&E program for the Trump administration, shares an example of the initial challenges he faced in this excerpt from his keynote at Compliance Week’s 2019 annual conference.
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Video
CW2019 clip: Donald Langevoort keynote
Georgetown Law Professor Donald Langevoort provides examples of human psychology’s effect on behavioral ethics in this excerpt from his keynote at Compliance Week’s 2019 annual conference in Washington D.C.