All Compliance Week articles in Web Issue – Page 411
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Blog
Implementing and maintaining a successful compliance program
There are three key areas that can help boards of directors to establish and maintain an effective compliance program—structure, culture, and risk management.
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Blog
The fight against worldwide corruption
When banks and regulators work together to halt the transfer, hiding, and parking of corrupt funds, the war on corruption takes one more giant step forward.
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Blog
Dun & Bradstreet to pay $9M to resolve FCPA case
The SEC announced on Monday that Dun & Bradstreet will pay $9 million for violations of the Foreign Corrupt Practices Act arising from improper payments made by two Chinese subsidiaries. Meanwhile, the Department of Justice said it has declined prosecution “consistent with the FCPA Corporate Enforcement Policy.”
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Blog
Early disclosures point to material effect of lease rules
Of the 100 largest lessees in U.S. capital markets, 76 percent say new lease accounting rules will be material to the balance sheet; 20 percent are still assessing.
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Article
Hackers tell all: How to reduce the risk of cyber-attacks
Interested in learning how to beef up your cyber-security processes? Who better to ask for advice than a group of hackers? A report from Nuix offers their suggestions.
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Article
Don’t expect grace period for GDPR enforcement
Companies will be in for a shock if they think that European data regulators will go soft on them or allow a grace period as they prepare for tough new rules on data protection that come into force next month.
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Article
What Wells Fargo’s woes could mean for near future of bank regulation
A $1 billion fine may set the stage for even harsher enforcement actions against Wells Fargo and their big bank brethren, despite the deregulatory zeal taking hold at the Federal Reserve and other agencies.
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Blog
U.K., EU must work together to ensure post-Brexit stability
Now is the time, FCA chief Andrew Bailey said, for the U.K. and EU authorities to jointly work on solutions to reduce the risks to financial stability that Brexit could pose.
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Article
SEC begins process of drafting its own fiduciary rule
With the apparent demise of the Labor Department’s fiduciary rule, the SEC has stepped in to fill the void. Will the proposed Regulation Best Interest aid investors?
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Article
Barclays’ Staley to be fined in whistleblower case
Barclays bank chief Jes Staley gets to keep his job but faces a significant fine after admitting using bank staff to try to reveal a whistleblower’s identity.
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Resource
How to Stop Delivering Boring Compliance Training
Many employees see compliance training as fundamentally uninteresting, irrelevant – or just plain boring. Failing to engage employees could increase the risks of unethical or non-compliant behaviors.
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Blog
AcelRx appoints general counsel
Pharmaceutical company AcelRx Pharmaceuticals announced the appointment of John Saia as general counsel, effective as of April 16.
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Article
Global aspects of tax reform prove particularly difficult
Elation morphed into confusion in the first quarter as companies celebrated tax reform, then dug in to figure out what it all means and how to comply.
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Resource
How to Identify Beneficial Ownership in a Not-so-transparent World
Beneficial ownership transparency is in the spotlight, and many compliance experts believe 2017 was a turning point in achieving greater transparency at a global scale, especially in preventing tax evasion and corruption.
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Blog
New guide offers blueprint for successful virtual shareholder meetings
The Virtual Annual Shareowner Meetings Study Group—comprised of 17 executives representing institutional investors, public companies, and proxy and legal service providers—has released a report that identifies best practices to consider when managing virtual meetings.
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Resource
Changing Lanes: Keeping Pace with Converging Pressures on Procurement Organizations
There is ever increasing converging pressures and challenges that corporations face to address transparency of their products and supply chains for all regulated functions.
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Article
China’s new anti-graft agency brings key compliance risk
A powerful new anti-corruption enforcement body in China makes it imperative that firms carefully review existing interactions with public officials in the country.
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Blog
PPI complaints against financial services firms on the rise
Complaints about payment protection insurance (PPI) created a significant spike in the number of complaints made to financial services firms in the second half of 2017, according to recent figures published by the U.K. Financial Conduct Authority, serving as a warning to the broader financial services industry about the future ...
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Resource
Understanding Beneficial Ownership Structures
This guide will help you better understand beneficial ownership legal structures and their complexities. It will also demonstrate how data and analytics can help improve the speed and accuracy of UBO identification, in addition to offering wider organisational benefits from enhanced knowledge management to resource redeployment.
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Blog
Celanese appoints chief accounting officer
Celanese, a global technology and specialty materials company, has appointed Benita Casey as chief accounting officer.