All Compliance Week articles in Web Issue – Page 571
-
Blog
Five-step guide to human rights due diligence
The U.K. Equality and Human Rights Commission has issued a five-step guide aimed at British boards and intended to help businesses “identify, mitigate, and report on the human rights impacts of their activities.” Paul Hodgson reports.
-
Blog
GFT launches regulatory change management service
GFT, a provider of advisory, business consulting, IT and software services to the financial services community, has announced the launch of its Regulatory Change Management Service, giving firms the ability to create an end-to-end tracking process to keep on top of their regulatory challenges.
-
Blog
Datawatch brings faster trading analytics
Datawatch has announced the general availability of Datawatch Panopticon 13.7, providing faster visual data analysis for trading, risk and compliance markets. The new features enable buy-side and sell-side firms, and exchanges to perform Big Data analysis of e-trading data both in real-time as well as intra-day and historically to gain ...
-
Blog
Compliance Week publishing one day late
Due to the Memorial Day holiday, Compliance Week will publish one day late this week on Wednesday, June 1.
-
Blog
SEC: Cyber-security now biggest risk facing financial system
In an interview on May 17, SEC Chair Mary Jo White made an eye-opening comment about cyber-security. Cyber-security, she stated, is now the “biggest risk facing the financial system.” What does that mean for the Commission going forward? Bruce Carton reports.
-
Blog
Some (minor) movement in SEC nominations of Fairfax and Peirce
It wasn't much, but given the complete lack of movement in the languishing nominations of Hester Peirce and Lisa Fairfax to be SEC commissioners, we'll take it. On Thursday, May 19, the U.S. Senate Banking Committee finally voted to advance the nominations of Peirce and Fairfax to the full Senate ...
-
BlogFrench nay on pay-cut
The controversy over Renault CEO Carlos Ghosn’s (pictured above) 2015 €7.2 million remuneration likely sparked revisions to France’s rules on compensation—including making say-on-pay mandatory and strengthening transparency rules. But so far, says Global Glimpses writer Paul Hodgson, Renault has no plans to change Ghosn’s compensation.
-
Blog
States propose crowdfunding filings
With an SEC rule enabling equity crowdfunding now in effect, and portals to facilitate that process under review, the North American Securities Administrators Association has announced a proposed model rule and uniform notice filing form for federal crowdfunding offerings. Joe Mont reports.
-
Blog
Deloitte names new AML and economic sanctions leaders
Frederick Curry has been named Deloitte Advisory anti-money laundering (AML) and economic sanctions practice leader. Michael Shepard has been named Deloitte Global AML, economic sanctions and financial crimes leader. They succeed Alison Clew who will retire in May.
-
Blog
PNMsoft releases HotOperations case management suite
PNMsoft, a global provider of Business Process Management software, has announced the release of HotOperations, a case management and work optimization solution powered by its intelligent BPM suite Sequence.
-
Blog
BDO Consulting expands Dispute Advisory Services
BDO Consulting, a division of BDO USA, a professional services organization, has appointed Bob Broxson as managing director in the firm's Dispute Advisory Services practice, and as a member of BDO’s Natural Resources practice.
-
Blog
Opus Bank names chief risk officer
Opus Bank has appointed Dwayne Sharpy has joined Opus as chief risk officer and has been appointed to Opus’ executive committee.
-
Blog
Neustar appoints chief risk officer and chief information security officer
Neustar, a provider of real-time information services, has appointed Tom Pageler as chief risk officer and chief information security officer. In his role, Pageler will be responsible for security governance and risk management, information security and operations, compliance and physical security.
-
Blog
TMG Health appoints chief compliance officer
TMG Health, a provider of business process outsourcing solutions to the Medicare Advantage, Medicare Part D and Managed Medicaid markets, has appointed Keisha Pinnock as chief compliance officer.
-
Blog
Largest companies more often miss filing deadlines, new report shows
A recent report from Audit Analytics finds that large accelerated filers, or those with a public float greater than $700 million, are finding it difficult to get their annual reports filed on time. In 2010, says Tammy Whitehouse, only 10 large accelerated filers gave notice to the markets that their ...
-
Blog
Trace International launches first global beneficial ownership registry
TRACE International, a non-profit business association that pools resources to provide members with anti-bribery compliance support, today launched TRACEpublic, the first global registry of beneficial ownership, developed in direct response to the risks inherent in secret company ownership, highlighted by the Panama Papers.
-
Blog
Intacct launches solution to address new revenue recognition guidelines
Intacct, a provider of cloud ERP software, announced the launch of Intacct Contract and Revenue Management, an automated solution to help companies navigate the complexities created by the upcoming ASC 606 and IFRS 15 revenue recognition guidelines.
-
Blog
Join me at Compliance Week 2017
Plan to attend Compliance Week 2017 to learn about the continued growth and operalization of compliance. Why should you consider attending an event one year out? It is because of the strength and character of Compliance Week 2016 that you should block this time off and plan to attend next ...
-
Blog
Bloomberg revamps counterparty onboarding process with Entity Exchange
Bloomberg announced the launch of its Entity Exchange platform, a web-based, centralized and secure solution that enables buy-side firms to provide entity data and documentation to their trading counterparties.
-
Blog
Congress to SEC: You'll get nothing and like it
Twice in recent years, the House Appropriations Committee's approved budget for the SEC has been $222 million less than the SEC requested. For FY 2017, the SEC requested a budget of $1.781 billion. Anyone care to guess what the Committee approved?