All Compliance Week articles in Web Issue – Page 326
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Article
Refinitiv to expand KYC solutions into wealth management
Refinitiv announced the planned expansion of its suite of financial crime solutions into the wealth management industry.
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Article
New bill seeks to end regulatory stalemate with China
Bipartisan legislation proposes to increase oversight on China-based companies listed on U.S. exchanges and delist those that fail to comply in three years.
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IBE produces AI guidance for boards
The U.K. Institute of Business Ethics is offering a new guide for companies faced with the ethical challenges of artificial intelligence.
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Privacy groups launch GDPR complaints
European privacy rights groups have launched a campaign to stop social media platforms and internet search engines from “spying” on users through online advertising by filing GDPR complaints with nine EU data regulators.
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PCAOB disciplines former Big Four auditors
The PCAOB has disciplined two former Big Four auditors—one over an audit of internal control and the other over inspection issues.
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Resource
White paper: Global Digital Communications Compliance for Regulated Industries
Financial services, pharmaceuticals, healthcare, and energy are some of today’s most regulated industries. And their compliance risks have only grown as modern business evolves. And you must comply with new rules that govern email, the web, social media, and more.
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SEC finally prevails with investment advice ‘best interest’ rule
The Securities and Exchange Commission has adopted rulemaking intended to enhance the quality and transparency of investor relationships with investment advisers and broker-dealers.
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SEC takes questions on knock-on effects of new lease rules
SEC staff members met with the Center for Audit Quality’s SEC Regulations Committee to acknowledge concerns and answer questions associated with new lease accounting rules.
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‘Context’ matters in AI decision making, says ICO
Transparency for all AI-generated decisions is not as important as context, according to new research from U.K. data regulator the Information Commissioner’s Office.
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Optiv enhances new Cyber-as-a-Service platform
Optiv Security announced Cloud Threat Monitoring and Compliance as-a-Service as the newest offering in its recently revealed Cyber-as-a-Service platform.
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Resource
White paper: US in Focus: AML/KYC & Sanctions Fines 2008-2018
Over the past ten years, US regulators have increasingly prioritized the importance of strict AML law enforcement to effectively deter money laundering and terrorist financing activity, with over $24bn in AML, KYC and sanctions penalties levied.
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Resource
White paper: Globanet Designated Third Party (D3P) Guidelines
In the last five years, FINRA, the primary self-regulatory organization for broker-dealers, has focused on prioritizing designated third-party compliance.
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Article
PCAOB to auditors: better document independence issues
The Public Company Accounting Oversight Board issued guidance to auditors to explain how they should handle communication with audit committees under Rule 3526.
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Google probe a sign U.S. getting serious about breaking up Big Tech?
The DOJ has reportedly been laying the groundwork for a Google-focused antitrust investigation in what seems to be the latest signal regulators have the tech giants in their crosshairs.
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Heritage Pharmaceuticals admits to price fixing, antitrust violations
Heritage Pharmaceuticals, a generic pharmaceutical company headquartered in New Jersey, was charged with conspiring with competitors to fix prices, rig bids, and allocate customers.
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Resource
e-Book: Riding California’s Wave of Regulatory Developments
California has not only been on the forefront of emerging technologies, it’s also been the most active state when it comes to regulating that new tech, especially when it comes to data privacy.
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Article
New ThreatAware feature enables proof of compliance
Cyber-security monitoring platform ThreatAware has added a new reporting feature to provide businesses with a full audit trail on any aspect of their IT security.
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Article
Walmart names chief ethics and compliance officer for international
Walmart has appointed David Searle as vice president, chief ethics and compliance officer for international.
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Article
Bricker resigns chief accountant post at SEC
Wes Bricker, chief accountant at the Securities and Exchange Commission, is leaving his post in June, to be succeeded by Sagar Teotia as acting chief accountant.
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SEC eyeing non-GAAP numbers that alter GAAP
SEC staff members are signaling to public companies that they still have concerns over uses of non-GAAP measures that seem to thumb their nose at GAAP.