All Compliance Week articles in Web Issue – Page 398
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Article
Best practices in policy management
A new study from NAVEX Global ranks companies’ management of their policies and procedures in terms of maturity.
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Blog
Shell companies and the who of corruption
A key part of any fraud scheme are the attempts to keep it hidden, and many companies set up shell companies to do just that. A look at why shell companies can shield bad actors from the public record.
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Blog
Whistleblowers and building trust
It is now more important than ever for companies to take seriously internal whistleblower reports, get the reports into the hands of the corporate functions that can triage and investigate such information, and keep the whistleblower in the loop more fully as to the status of the investigation.
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Blog
Machine learning and anti-corruption compliance
Behavioral analytics, coupled with machine learning will enhance anti-corruption compliance programs and the company will run more efficiently, as it will allow an organization to more closely track its overall spend going forward.
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Blog
The importance of compliance contract terms
Making sure third-party contracts contain appropriate compliance terms and conditions can help save companies time and money down the road.
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Blog
Asking questions about your third-party process
When regulators come knocking, it’s important to have the right protocols in place. Knowing what questions to ask can be a big help to companies when implementing a third-party due diligence process.
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Article
SASB prepares to codify full set of sustainability standards
The movement toward corporate sustainability reporting is approaching a big milestone as the Sustainability Accounting Standards Board prepares to codify its standards.
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Article
What to expect under the new SFO Director
The U.K. Serious Fraud Office—the agency that both investigates and prosecutes white-collar and financial crimes in the United Kingdom—is set to begin a whole new chapter in its 30-year history, with implications on U.K. companies facing investigations for economic crimes.
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Blog
NY federal judge declares CFPB unconstitutional
With latest volley in ongoing debates over the constitutionality of the CFPB, a federal judge in New York ruled on Thursday that the Bureau’s current structure is unconstitutional.
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Blog
FASB issues new guidance on share-based payments
FASB has given companies new accounting guidance to follow when accounting for share-based payments to non-employees.
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Blog
Supreme Court rules states can collect tax from online sales
Tax departments could soon face a mountain of new activity to collect and remit state sales tax after the U.S. Supreme Court overruled longstanding case law.
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Blog
Former Bain Capital chief compliance officer joins Optima Partners
Alan Halfenger, formerly chief compliance officer at Bain Capital, has been named as a partner at global regulatory compliance advisory firm Optima Partners.
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Blog
SEC details strategic initiatives through 2020
The SEC has published a new plan that details its strategic priorities through Fiscal Year 2022.On the list: improved technology and data analysis and a focus on retail investors.
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Blog
U.K. audit regulator rips quality at major firms
Audit regulators in the United Kingdom have taken off the gloves in their assessment of audit quality among the major firms, especially the Big 4.
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Blog
EU retaliates against U.S. steel, aluminum tariffs
The European Commission adopted on June 20 a regulation putting in place the EU’s rebalancing measures in response to U.S. tariffs on steel and aluminum. The measures will immediately target a list of products worth €2.8 billion (U.S. $3.2 billion) and will come into effect on June 22.
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Blog
SEC’s Clayton digs into the basics of company culture
SEC Chairman Jay Clayton used a speaking engagement this week to champion the need to establish a firm-wide culture of compliance.
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Blog
SEC: Merrill Lynch to pay $42M for misleading customers
The Securities and Exchange Commission on June 19 announced charges against Merrill Lynch for misleading customers about how it handled their orders. Merrill Lynch agreed to settle the charges, admit wrongdoing, and pay a $42 million civil penalty.
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Blog
Great Western Bancorp names chief risk officer
Great Western Bancorp has promoted Karlyn Knieriem to chief risk officer and executive vice president, effective immediately.
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Article
Big changes may be on the horizon for CRA and Bank Secrecy Act compliance
Testifying in both chambers of Congress last week, Comptroller of the Currency Joseph Otting discussed plans to modernize the Community Reinvestment Act, and streamline requirements under the Bank Secrecy Act.
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Article
GM’s Shawn Rogers speaks candidly on training transformation
Compliance Week columnist Tom Fox recently sat down with Shawn Rogers, lead counsel, compliance training and communications at General Motors, to discuss the innovative steps GM has taken toward improving compliance training.