All Compliance Week articles in Web Issue – Page 533
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Blog
FinCEN wants cyber-attack data in SARs
New guidance from the Financial Crimes Enforcement Network addresses the inclusion of information about both attempted and successful cyber-attacks in Suspicious Activity Reports.
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Blog
Grapevine: Who’s coming and going in compliance
Peninsula Petroleum has strengthened its risk management controls with the hiring of Mike Stark as its first-ever chief risk officer; and Charles River Laboratories and CorEnergy each have new chief accounting officers. Check out the CW Grapevine for the latest personnel moves.
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Blog
Peninsula Petroleum names first chief risk officer
Peninsula Petroleum, a global marine fuel and lubricant suppliers, has appointed Mike Stark as its first-ever chief risk officer.
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Charles River Laboratories chief accounting officer retires
Charles River Laboratories announced that John Crowley has retired as SVP, corporate controller, and chief accounting officer of to pursue an opportunity at a different company.
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CorEnergy appoints chief accounting officer
CorEnergy Infrastructure Trust, a real estate investment trust (REIT) that owns essential midstream and downstream energy assets, has appointed Nathan Poundstone as chief accounting officer.
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Global Eagle Entertainment has new chief accounting officer
Global Eagle Entertainment has appoint Frank Mullen to as senior vice president and chief accounting officer, the company announced in a recent securities filing.
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New analysis shows audit committees voluntarily say more
Another study confirms audit committees are trying to raise the bar in terms of how much they tell investors about their oversight of the external audit. Tammy Whitehouse has more.
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INVEST Financial names chief compliance officer
INVEST Financial, a member broker-dealer in the National Planning Holdings (NPH) network, one of the largest independent broker-dealer networks in the United States, has appointed Jason Albino as senior vice president and chief compliance officer for the firm.
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Starwood Hotels and Resorts compliance leader joins Squire Patton Boggs
Jose Martin Davila, who most recently served as director of compliance for Americas and French Polynesia at Starwood Hotels and Resorts Worldwide, has joined as of counsel in the government investigations and white-collar practice of law firm Squire Patton Boggs, based in Miami.
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Compliance Risk Concepts names anti-corruption and ethics practice leader
Expanding its scope of compliance specialties to anti-corruption and Foreign Corrupt Practices Act resolution, Compliance Risk Concepts, a compliance risk management support services firm, has hired Daniel Dorsky as principal of its anti-corruption and ethics practice.
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DDIQ automated due diligence solution built for ISO 37001
OutsideIQ’s DDIQ corporate due diligence product has been launched specifically to help businesses meet the guidelines of the new International Organization for Standardization (ISO) anti-bribery standard, ISO 37001.
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Blog
Two thumbs up for David Smyth’s ‘Insider Trading Cartoon Series’
Bruce Carton looks at former SEC enforcement attorney David Smyth’s “The Insider Trading Cartoon Series,” a 10-part (and counting!) cartoon series of interesting lessons about the intriciacies of insider-trading law.
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1MDB-a truly international fight against corruption
Tom Fox looks at the alleged looting of Malaysian sovereign wealth fund 1MDB and the implications it has for fighting global corruption.
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ISS unveils annual policy recommendations
The annual one-two punch of a global policy survey and corresponding policy updates from leading proxy advisory firm Institutional Shareholder Services is upon us once again. Joe Mont looks at the recommendations under consideration for U.S. companies.
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Kara Stein: A vision for data at the SEC
SEC Commissioner Kara Stein has renewed calls to create an Office of Data Strategy that would be tasked with coordinating the creation of a data strategy addressing how the SEC collects, manages, uses, and provides data. Jaclyn Jaeger reports.
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FASB’s new consolidation guidance lays off indirect interests
FASB’s new consolidation guidance is meant to help companies better determine whether a particular entity should be consolidated to financial statements. More from Tammy Whitehouse.
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Blog
New IIA data tallies political pressure on internal auditors
Tammy Whitehouse has the results of a new report from the Internal Audit Foundation that says one in four practitioners around the world face pressure to suppress or change audit findings.
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Article
Survey: Trials, tribulations of third-party risk management
Jaclyn Jaeger has the results of a new survey jointly conducted by Compliance Week and Crowe Horwath that explores the many trials and tribulations of third-party risk management programs.
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Article
An inside look at the SEC Office of the Whistleblower
Jaclyn Jaeger talks with Sean McKessy, who served as first-ever chief of the SEC’s Office of the Whistleblower, about the Whistleblower Program, his time at the SEC, and how companies could improve their whistleblower programs.