All Compliance Week articles in Web Issue – Page 499
-
Blog
CAQ, others issue update to auditor assessment tool
Audit committees have an updated tool available for use to help them assess their external auditors, courtesy of a collaborative group of advocates for audit quality.
-
Blog
Morgan Stanley names new chief compliance officer
Morgan Stanley's chief compliance officer Billy Fenrich is leaving the firm after just one year in the role. He will be replaced by Raul Yanes, a partner at law firm Davis Polk & Wardwell.
-
Article
The Financial Reporting Council makes its case for broader powers
An influential committee of Members of Parliament has recommended a wide-ranging series of changes aimed at boosting the powers of the U.K.’s corporate governance regulator.
-
Article
Data privacy and cyber-security considerations in M&A deals
The increasingly ominous specter of cyber-risk can cast a shadow over any merger or acquisition. But due-diligence practices can lower the risk.
-
Blog
M-Files simplifies GDPR compliance
M-Files, a provider of solutions designed to improve how businesses manage documents and other information, now provide offerings to help companies better protect their customers' personal data and adhere to GDPR requirements.
-
Blog
MetricStream releases M7 platform and apps
MetricStream, a GRC apps and solutions provider, this month announced the release of the M7 platform and apps for risk, compliance, audit, IT security, and other GRC professionals.
-
Article
The inside story of Royal Dutch Shell and the cost of integrity
Several leaked e-mails uncovered in early April reveal Royal Dutch Shell’s involvement in one of the largest bribery schemes in history.
-
Blog
U.S. judge orders Odebrecht to pay $2.6B in global bribery case
A U.S. federal judge this week ordered Odebrecht to pay $2.6 billion in fines for violations of the Foreign Corrupt Practices Act, securing a plea deal reached last year with authorities in the United States, Brazil, and Switzerland.
-
Blog
A farewell to Kara Brockmeyer but her legacy continues
The SEC bids a fond farewell to the head of its Foreign Corrupt Practices Act unit. Tom Fox looks back at Kara Brockmeyer’s illustrious career with the Commission.
-
Article
Directors may be best cops on the regulatory beat
While the battle between regulation and deregulation rages on, shareholder protection may be a job best accomplished by boards.
-
Blog
A bad year for Airbus
2017 has not been a good year for European aircraft manufacturer Airbus, whose corruption and bribery scandal has instigated anti-corruption policies and government probes in the airline industry.
-
Article
Latest internal audit studies suggest path forward for leaders
The latest crop of internal audit studies reveal some promising insights into the trajectory of the profession and strategies to undertake on the path forward.
-
Blog
British PM calls for early election
British Prime Minister Theresa May is calling for an early election in hopes to foil Brexit opposition plans.
-
Article
A frontline view of whistleblower trends
We chat with Carrie Penman, chief compliance officer and senior vice president of NAVEX Global’s advisory services, about how case closure times for whistleblowers are declining, even as reporting rates increase.
-
Article
SEC renews its offensive against ‘fake news’
Fake news, in the eyes of the SEC, isn’t just a problem during election year. Over several decades, stock price manipulations have been predicated on rumors and hoaxes.
-
Blog
Top accountant provides blueprint for effective audit committees
From education to composition, the SEC's top accountant recently gave audit committees a primer on everything it takes to be effective in the job these days.
-
Blog
FINRA seeks feedback on capital formation rules
The Financial Industry Regulatory Authority has opened a public comment period on existing rules connected to capital formation. The effort is part of an ongoing self-assessment by the agency.
-
Blog
Raymond James to pay $150M to resolve fraud scheme
Raymond James Financial has reached a $150 million settlement to resolve all investor claims that the firm stole and misused millions of dollars raised through investments solicited under the federal EB-5 visa program.
-
Blog
Compliance expertise on the board of directors
The recent corporate scandal at Wells Fargo highlights the need for boards of directors to have a committee devoted to compliance.
-
Blog
Whistleblowers at KPMG and Barclays—a contrast in style
The recent termination of six KPMG employees for receiving (and failing to report) improper advance information of PCAOB audits stands in stark contrast to actions taken after someone blew the whistle at Barclays Bank. A look at their responses is inside.