All Compliance Week articles in Web Issue – Page 458
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Blog
Standard Bank: Africa’s Fintech culture transforming forex market
Inside, Standard Bank shares its perspective on how Africa’s fintech culture has transformed the continent's foreign exchange trading landscape, and how the bank is adjusting as well.
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Blog
SEC charges Goldman Sachs VP in insider trading scheme
The SEC on May 31 charged a Goldman Sachs vice president of investment banking with repeatedly using his access to highly confidential information to place illicit and profitable trades in advance of deals on which the bank was providing investment banking advisory services.
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Blog
David Lynn rejoins Morrison & Foerster
David Lynn, former Chief Counsel of the SEC’s Division of Corporation Finance, has returned to global law firm Morrison & Foerster, rejoining the firm’s Corporate Department and Corporate Finance group.
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Blog
Amid brewing trade war, U.S. enters a battle over wine sales in Canada
The U.S. has added wine sales in Canada to its list of international trade battles. The Trump administration has requested that the World Trade Organization broker a settlement over "unfair regulations" in British Columbia.
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Blog
Trump’s tariffs inch U.S. closer to a multinational trade war
The White House on Thursday announced new steel and aluminum tariffs imposed on Canada, Mexico, and the European Union. Those countries are now threatening retaliation with targeted tariffs of their own.
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Article
Fed pitches a new effort to streamline Volcker rule
On the heels of new legislation targeting reach of the Volcker rule to small- and medium-sized financial institutions, the Fed has announced its own plan for streamlining the Dodd-Frank Act’s regulatory centerpiece.
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Blog
Legg Mason accrues $67M charge to earnings for FCPA matter
U.S. investment management firm Legg Mason disclosed in a securities filing on May 30 that it expects to soon complete negotiations with both the U.S. Department of Justice and the SEC to resolve a Foreign Corrupt Practices Act investigation.
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Article
For leading compliance programs, it’s all about technology
Leading compliance programs more often use technology tools than do their peers, according to the results of PwC’s annual State of Compliance study. These include data analysis tools, dashboards, continuous monitoring, data warehousing, data extraction tools, and a GRC solution.
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Blog
Newest poll shows lag in lease accounting adoption
With only six months to the effective date of a new lease accounting rule, more than half of companies have not started to prepare, according to a new survey.
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Podcast
Podcast: Coping with new liquidity risk rules for investment firms
In this edition of the Compliance Week podcast, we chat with Jeanette Turner, chief Regulatory Officer at Compliance Solutions Strategies, about requirements in the SEC’s Reporting Modernization and Liquidity Risk Management rule.
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Blog
Restatements dip again in 2017, newest study shows
Title: Restatements dip again in 2017Restatements took another downward dip in 2017, suggesting continued improvement in financial reporting quality, according to the newest study from Audit Analytics.
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Blog
Tech giants face first wave of GDPR complaints
Privacy advocates wasted no time filing numerous complaints against a handful of technology companies, including Facebook and Google, for violations of the EU’s General Data Protection regulation, which came into force May 25.
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Article
Emerging companies a compliance quandary in global market
How do you build an effective anti-corruption compliance program in emerging markets? Know their culture, customs, and language; then leverage that knowledge to create trust and on-the-ground adherents, advised panelists at the Compliance Week 2018 conference.
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Blog
Convercent releases GDPR capabilities for Ethics Cloud platform
Convercent, a provider of ethics and compliance software, announced new platform capabilities designed to help global customers achieve compliance with the EU’s General Data Protection Regulation requirements via the Convercent Ethics Cloud platform.
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Blog
Santander Holdings USA appoints chief risk officer
Santander Holdings USA has appointed Mahesh Aditya as chief risk officer, assuming risk management functions across the United States.
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Blog
CIT Group names chief risk officer
Loan agency CIT Group has named Wahida Plummer as chief risk officer. She replaces former Chief Risk Officer Robert Rowe, who has elected to leave the company to pursue other career opportunities.
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ArticleModernizing compliance: a viewpoint from the front lines
Taking a cross-functional approach to compliance—solving problems together with the business—is the most effective and cost-efficient way to mitigate enterprise-wide risks today.
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Blog
GDPR is live ... now what?
With GDPR now in effect, we should soon start to get some answers regarding its enforcement and how its private right to action will play out in the legal arena.
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Article
EU pushes for worldwide ban on testing cosmetics on animals
The European Parliament is seeking to make the EU’s ban on cosmetic testing on animals a worldwide prohibition.
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Blog
Compliance in the middle is critical
One of the most important parts in the corporate hierarchy is the often-overlooked middle of an organization. Inside is an in-depth look at what tone in the middle should be.