All Compliance Week articles in Web Issue – Page 438
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Blog
Tax functions need high-tech tools, KPMG outlook says
Tax departments need to tool up to be ready for the kinds of tax planning that will occur in the coming 12 months, especially under tax reform, survey says.
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ResourceRidding toxins from corporate culture
There has been no shortage of companies making headlines recently for having in place a toxic corporate culture.
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Article
Compliance measures for reducing export-corruption risk
A recent study from corruption watchdog Transparency International rates countries on their enforcement processes, or lack thereof, under the OECD Anti-Bribery Convention.
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Podcast
Podcast: California considers board diversity rules
In this edition of the Compliance Week podcast, we discuss California’s SB-826, a bill mandating that major companies in the state put female directors on their boards. We spoke to Lillian Tsu, a partner at Hogan Lovells and member of the firms Public Company Advisory Practice for her views on ...
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Article
Public sounds off to SEC on proposed whistleblower changes
As part of a public comment process that reached its deadline on Sept. 15, the SEC has collected ideas and opinions on proposed changes to its whistleblower program. We took a look at some of the responses.
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Article
Danske Bank CEO quits over money laundering failures
The chief executive of Denmark’s biggest financial institution has resigned following the publication of a report that highlights large-scale money laundering in the bank’s Estonian operations.
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Blog
Argent Trust names chief compliance officer
Argent Trust Company has named Deanna Rankin chief compliance officer.
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Blog
Confidence in auditors tapers in 2018, poll says
Investor confidence in auditors and in capital markets in general fell in 2018, according to the annual poll by the Center for Audit Quality.
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Blog
Report calls out gender disparity among engagement partners
As audit firms disclose who performs public company audits, gender diversity is emerging as the first major concern regarding audit engagement leadership.
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Blog
AXA Equitable Life names chief risk officer
AXA Equitable Life, a wholly-owned indirect subsidiary of financial services company AXA Equitable Holdings has promoted Aaron Sarfatti to chief risk officer, effective Oct. 1.
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Blog
SeaWorld, CEO settle fraud charges with SEC for $5M
SeaWorld Entertainment and its former CEO have agreed to pay a total of more than $5 million to settle fraud charges for misleading investors about the impact the documentary film Blackfish had on the company’s reputation and business, the Securities and Exchange Commission announced.
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BlogState agencies may be final frontier for consumer advocates
As the Consumer Financial Protection Bureau weakens, state agencies—mini-CFPBs if you will—may step up to fill the void.
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ArticleGuidance confirms diminished tax benefits for exec comp
While certain aspects of tax reform remain ambiguous, the provisions around the deductibility of executive compensation awards are becoming clearer.
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Blog
FINMA finds deficiencies in AML processes at Credit Suisse
The Swiss Financial Market Supervisory Authority FINMA has concluded two enforcement procedures against Credit Suisse. In the first procedure, FINMA identified deficiencies in the bank’s adherence to anti-money laundering due diligence obligations. The second procedure relates to a significant business relationship for the bank with a politically exposed person.
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Blog
Treasury, IRS issue proposed GILTI rules under tax reform
Treasury and the IRS have issued proposed new regulations on how to calculate global intangible low-taxed income under the Tax Cuts and Jobs Act.
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Blog
SEC monitoring Hurricane Florence
The Securities and Exchange Commission, in a statement on Friday, said it is “closely monitoring the effects of Hurricane Florence” on investors and capital markets. It will consider extending deadlines for filings and other regulatory requirements.
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Blog
House panel advances slate of reform-minded bills
The House Financial Services Committee this week advanced 12 bills. Among them is a modification of the Sarbanes-Oxley Act so that small, privately owned non-custodial brokers and dealers are no longer required to hire PCAOB-registered audit firms to meet annual reporting obligations.
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Blog
ComplianceLine launches dedicated ‘Crisis Line’ service
ComplianceLine, an ethics and compliance solutions provider, recently launched a dedicated ‘Crisis Line’ Service to address emergency requests from clients managing organizational and reputational challenges. The Crisis Line Service provides an active response to unexpected incidents to safeguard people and clients.
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Blog
LeaseAccelerator achieves SOC 2 Type 2 compliance
LeaseAccelerator, a software-as-a-service solution for enterprise lease accounting, announced that it has successfully completed a SOC 2 Type 2 assessment performed by an independent third-party auditor.
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Blog
Ankura acquires Navigant's DFLT segment and TAS practice
Ankura, a business advisory and expert services firm, recently completed its acquisition of the Disputes, Forensics and Legal Technology (DFLT) segment and the Transaction Advisory Services (TAS) practice of Navigant.