All Compliance Week articles in Web Issue – Page 468
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ArticleMiFID II is on the way and U.S. firms should pay close attention
As the slate of EU financial regulations known as MiFID II goes into effect in January, U.S. firms may be rudely awakened by new transparency demands, real-time reporting requirements, and “research unbundling” rules.
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Article
Federal Reserve rethinks oversight by bank boards
A Federal Reserve proposal seeks to streamline the expectations placed upon bank directors. Will it help ease their burden, or create a confusing new regime?
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Blog
FTI Consulting strengthens its Dispute Advisory Practice
FTI Consulting, a global business advisory firm, today announced that C. Paul Wazzan has joined the firm’s Dispute Advisory Services practice within its Forensic & Litigation Consulting segment as a senior managing director.
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Article
FRC consults on strategic report
The FRC has proposed amendments to strategic reporting guidance in the hopes that companies will expand their range of non-financial reporting to give stakeholders a better understand of companies’ decision making and corporate strategies.
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Article
Is it impossible to operate cleanly in some countries?
Corruption may be seen as being “endemic” in some regions, but that cuts no ice with prosecutors in the United Kingdom. To them, a bribe is still a bribe.
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Blog
Chubb broadens ERM solutions for cyber policyholders in U.S. and Canada
Property and casualty insurance company Chubb has broadened its enterprise risk management solutions for Chubb commercial cyber policyholders in the United States and Canada.
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Article
Distilling lessons from the uptick in FCPA declinations
As the number of FCPA declinations is up, all indicators point to a general desire on the part of the DoJ and SEC to clear out old cases and re-evaluate which ones to pursue.
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Blog
Study asserts link between control weaknesses, fraud
Academics say they have identified a link between internal control weaknesses and later revelations of fraud, lending fresh support to key provisions of SOX.
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Blog
For leniency, confess all crimes
The JBS meat-packing scandal is a perfect example of why companies must provide every single shred of evidence of criminal conduct, or a plea agreement might not be worth much.
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Blog
There will be blood
A viral video of a nurse who was arrested for upholding her hospital’s own policy on permitting blood draws from non-consenting patients highlights the true challenges of compliance.
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Blog
Robert Jackson, architect of political spending petition, nominated to SEC
President Trump has nominated Robert Jackson, a professor at Columbia University and proponent of a controversial political spending disclosure rule proposal, to be a member of the SEC.
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Blog
SEC names director of DERA
The Securities and Exchange Commission has named Jeffrey Harris as director of the agency's Division of Economic and Risk Analysis (DERA). He replaces former director Mark Flannery, who left the agency to return to teaching.
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Blog
Chairman Clayton names executive staff
The Securities and Exchange Commission has named seven individuals to the executive staff of Chairman Jay Clayton.
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Blog
Nordson general counsel and secretary to retire
Nordson Corporation, an industrial equipment supplier, announced that vice president, general counsel and secretary Robert Veillette will retire from the company after 32 years of service, effective Dec. 31, 2017.
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Blog
SEC’s requirement for hyperlinks in filings now in effect
As of Sept. 1, rule and form amendments requiring hyperlinks are in effect. The changes were put in place by the SEC to make it easier for investors and other market participants to find and access exhibits in registration statements and periodic reports.
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Blog
Judge kills Obama administration's overtime rule
Judge Amos Mazzant of the Eastern District of Texas has invalidated the Obama administration’s controversial rules regarding overtime pay. The Labor Department was already considering a reproposal prior to the decision.
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Blog
SeaWorld, Mueller, and Congress
In case you missed it this week, Mueller sidles up to a new lawyer involved in Paul Manafort's probe, politicians are eyeing a particular bribery-related trial, and SeaWorld get's a criminal investigation
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Blog
MTS Systems: FCPA probes close with no action
MTS Systems, a global supplier of test systems and sensing solutions, said in a quarterly filing this month that it will not be facing an enforcement action regarding a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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Blog
Wells Fargo boosts number of unauthorized accounts to 3.5M
A review commissioned by Wells Fargo has increased the number of falsified accounts at the bank from 2.1 million to nearly 3.5 million. Last year, the CFPB fined the bank for the “widespread illegal practice of secretly opening unauthorized deposit and credit card accounts.”
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Blog
PCAOB sees some improvement, yet room for more
Based on its latest round of audit inspections in 2017, the PCAOB found some improvement at some firms, but still plenty of work to do to meet standards.