All Compliance Week articles in Web Issue – Page 335
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Article
FCA publishes its Business Plan for 2019/20
The U.K. Financial Conduct Authority on 17 April published its Business Plan for 2019/20, outlining its key priorities for the coming year.
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Article
AICPA revenue recognition guide hits audit, sector issues
Still looking for some help on revenue recognition? The AICPA has published an audit and accounting guide meant to work through industry-specific issues.
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Article
Fugue enhances cloud compliance product
Fugue, a provider of autonomous cloud infrastructure security and compliance, announced new enhancements to its product designed to enable continuous compliance scanning and reporting across an organization’s cloud footprint.
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Article
Former VW boss charged over emissions scandal in Germany
German prosecutors have filed aggravated fraud charges against Martin Winterkorn, the former chief executive of Volkswagen, and four other unnamed managers for their involvement in the emissions-cheating scandal.
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Article
Q4 control disclosures inched upward, FERF says
Nearly one-fourth of filings with the SEC in the fourth quarter contained admissions of material weaknesses in internal control over financial reporting.
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Resource
The OCEG GRC Illustrated Series: Connected Management of Operational Risk Prevents Disruption
Are you facing constant disruptions to your business operations? Many things can disrupt the business and the measure of this disruption is called operational risk.
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Resource
The OCEG GRC Illustrated Series: Finding Ultimate Beneficial Owners
Are you struggling with the challenge of identifying the real owners behind your customers or parties you do business with?
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Article
Trump takes another swing at controlling independent agencies
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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Article
Uber discloses its bribery and corruption risk
In its first-ever filing with the SEC, ride-sharing company Uber discussed its bribery and corruption risks, including an ongoing investigation by the Department of Justice into potential violations of the Foreign Corrupt Practices Act.
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Article
GE to pay $1.5B for misrepresentations concerning subprime loans
General Electric will pay a civil penalty of $1.5 billion to resolve claims under the Financial Institutions Reform, Recovery, and Enforcement Act involving subprime residential mortgage loans originated by WMC Mortgage, a GE subsidiary.
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Podcast
Marcel de Chermont: ‘no person left behind’
Marcel de Chermont, founder and principal of Caledonia Consulting, Inc., discusses with columnist Tom Fox how to tailor a risk-based compliance program to different groups of employees while getting the same message across.
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Article
FASB preps proposal to simplify income tax accounting
FASB is preparing a proposal to amend accounting standards in a way that is intended to ease the accounting for income taxes.
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Article
Brexit extended until 31 October
EU leaders continue to dawdle on Brexit. The U.K.’s exit from the European Union has once again been delayed—this time until Oct. 31.
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Article
Encore Capital Group appoints chief risk officer
Encore Capital Group, an international specialty finance company, has appointed Doris Hektor as managing vice president and chief risk officer.
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Article
Ingersoll Rand names general counsel
Ingersoll Rand has appointed Evan Turtz as senior vice president and general counsel, effective immediately. He will serve as an officer of the company and be responsible for strategic leadership and oversight of Ingersoll Rand’s legal and compliance affairs worldwide.
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Article
Jarvis Global Investments names chief compliance officer
Jarvis Global Investments has named Katelyn Jarvis as chief compliance officer and director of retirement services.
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Article
R.J. O'Brien & Associates appoints chief compliance officer
R.J. O’Brien & Associates, an independent futures brokerage and clearing firm, has promoted Kathleen Clapper to senior director and chief compliance officer.
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Article
SEC charges former SeaWorld executive with insider trading
The SEC has charged the former general counsel of amusement park company SeaWorld Entertainment for his role in an insider-trading scheme, and it’s not the first time that a SeaWorld executive has been in trouble for misleading investors.
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Article
Fed seeks comments on framework for foreign banks
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
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Article
Analysts offer tips on reading financials with leases added
Analysts are advising investors to buckle up in preparation for first-quarter results that will, for the first time, include leases on the balance sheet.