All Compliance Week articles in Web Issue – Page 486
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Article
10 reasons to be wary of new auditor disclosure rules
New disclosures required by auditors don’t produce any direct new rules for the public firms they audit, but companies can expect at least 10 potentially serious consequences.
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ArticleDodd-Frank reforms prevail in House; now what?
The Financial CHOICE Act, a weapon of Dodd-Frank destruction, has advanced from the House of Representatives. Companies, regulators, and Congress now face the repercussions.
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Article
Decoding the data protection officer role under GDPR
As the European Union’s General Data Protection Regulation takes effect in May 2018, companies should begin thinking of hiring a data protection officer.
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Blog
British Airways learns a lesson on controls
The recent power failure at British Airways that stranded more than 75,000 holiday passengers is a reminder to companies of the importance of internal controls.
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Blog
Tip of the (compliance) hat to Hui Chen
A look at Hui Chen’s career at the Department of Justice, serving as the compliance counsel and, most importantly, putting the compliance function front and center in the fight against FCPA violations.
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Blog
Compliance and risk management as a competitive advantage
The Man From FCPA explores Amazon’s recent foray into banking that effectively demonstrates how the risk management aspect of compliance can be used as a competitive advantage.
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Blog
Grapevine: Who’s coming and going in compliance
Peruvian engineering and construction company Graña y Montero has appointed a new chief risk and compliance officer amid a bribery probe. Puma, Admiral Markets, and Triad Advisors also all have new compliance officers. Check out the CW Grapevine for the latest personnel moves.
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Blog
LPL names chief legal and risk officer
Retail investment advisory firm and independent broker-dealer LPL Financial, a wholly owned subsidiary of LPL Financial Holdings, has announced that Michelle Oroschakoff, current managing director and chief risk officer, will expand her responsibilities to include oversight of the firm’s legal and government relations functions as chief legal and risk officer, ...
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Blog
SEC charges brokerage firm with AML failures
The SEC has charged a Utah-based brokerage because it "routinely and systematically failed to file Suspicious Activity reports for stock transactions that it flagged as suspicious."
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Blog
SEC names co-directors for Enforcement Division
The SEC has announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named co-directors of the Enforcement Division.
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Blog
Triad Advisors appoints chief compliance officer
Triad Advisors, an independent broker-dealer, has appointed Bernie Breton as chief compliance officer.
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Blog
Admiral Markets names compliance officer
Admiral Markets UK has appointed Simon Roberts as the its new general manager, and Stephen Ayme has been added to the management board team and will be leading the compliance department.
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Blog
Puma appoints chief compliance officer
Sports company PUMA has appointed Raliza Koleva as chief compliance officer with immediate effect.
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Blog
CCO Checkup helps financial firms test AML program effectiveness
QuantaVerse recently announced the launch of CCO Checkup, a free service financial institutions can use to test the effectiveness of their AML programs, empowered by QuantaVerse’s AI solution that analyzes transaction data to detect “false negatives” or anomalous behaviors that may have been missed by an institution’s existing transaction ...
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Blog
FTI Technology launches Contract Intelligence Services practice
The Technology segment of global business advisory firm, FTI Consulting, recently announced the launch of its Contract Intelligence Services practice, which delivers solutions for legal teams seeking transparency across enterprise contracts to help make key decisions, leverage negotiations and meet regulatory requirements.
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Blog
Labor Department sets repeal of ‘persuader rule’ in motion
The Department of Labor is moving forward with efforts to rescind a rule that would have required disclosure of agreements between employers and labor-management consultants.
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Blog
Financial Choice Act passes in House
The Financial CHOICE Act, a more than 600-page bill to repeal and repace much of the Dodd-Frank Act, has passed in the House of Representatives with a party-line vote of 233 to 186. It now moves into the far greater challenge of passage in the Senate.
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Resource
5 Critical Stages of Policy Management
Download Mitratech's guide, The Five Critical Stages of Policy Management, to find out how PolicyHub can help you mitigate risk by ensuring that your policies are effectively deployed and managed.
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Blog
FASB nears release of final standard on hedge accounting
FASB plans to issue its final standard on hedge accounting in August, taking effect in 2018 among other major accounting changes over the next few years.