All Compliance Week articles in Web Issue – Page 579
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Blog
Former chief compliance officer joins Compliance Risk Concepts
Compliance Risk Concepts, a compliance risk-management services provider, has hired David Amster as principal and head of its fund and dealer advisory practice. In this role, Amster will develop new client relationships and also advise on operational matters.
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Blog
IASB appoints new vice chair
The Trustees of the IFRS Foundation, responsible for the governance and oversight of the International Accounting Standards Board, have appointed Sue Lloyd as the new IASB vice chair, effective Nov. 1. Jaclyn Jaeger has more.
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Blog
Local Pensions Partnership appoints chief risk officer
Local Pensions Partnership (LPP), a U.K. pension services organization, has appointed Tom Richardson as its new chief risk officer. He replaces Angela Smith, who was serving as interim chief risk officer.
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Blog
Banner Bank appoints chief risk officer
The Banner Corporation, a $9.9 billion bank holding company, has named Judy Steiner as chief risk officer. She replaces Tyrone Bliss, who previously announced his retirement effective later this month.
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Blog
New guidance delves into pay ratio disclosure dilemmas
It may not cure the many headaches regarding compliance with the SEC’s pay ratio disclosure rule, but there is new guidance from the SEC for boards and CCOs to mull over. Joe Mont reports.
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Blog
Is a cup of coffee a reportable FCPA violation?
What’s next on the list of FCPA violations, a cup of coffee bought for a custom official while you await inspection? Tom Fox ponders that question after reading about Lennox International’s $475 facilitation payment Justice Department disclosure.
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Blog
Banks may face enhanced cyber-risk management rules
Federal bank regulators are considering a slate of enhanced cyber-security, risk management, and resiliency standards. The new rules would apply to directors and auditors. Joe Mont reports.
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Survey: Proxy access continues to gain steam
Joe Mont explores a key finding from Shearman & Sterling’s executive compensation survey—the number of proxy access proposals submitted for the 2016 proxy season rose significantly compared to 2015.
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Sen. Warren asks President Obama to appoint new SEC chair
Apparently, you can only express your “disappointment” in someone so many times before you need to go to Plan B—take it up with the boss. Bruce Carton explores Sen. Elizabeth Warren's request of President Obama to replace SEC Chair Mary Jo White.
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Board members value disclosures not currently required
Tammy Whitehouse looks at a BDO USA survey that suggests while board members seem dissatisfied with the state of financial statement disclosure today, many seem to value disclosures that aren’t required.
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Blog
Theresa May: Champion of the workers, poor, and oppressed?
Paul Hodgson provides an in-depth look at Conservative Prime Minister Theresa May’s comments during the Conservative Party conference this month and what they mean for Britain’s future.
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Blog
Just who are your friends?
Corruption in Hollywood? Tom Fox explores the controversy surrounding financing of the film, The Wolf of Wall Street, which the Justice Department claims was funded by the looted Malaysian sovereign wealth fund 1MDB.
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Blog
EY agrees to $11.8 million settlement with SEC on failed audits
EY has agreed to pay $11.8 million to settle more charges from the SEC. This time the firm and two auditors are accused of ignoring red flags, enabling fraud. Tammy Whitehouse reports.
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Article
CFPB’s legal setback goes beyond constitutionality
A successful legal challenge against the constitutionality of the CFPB doesn’t mean it will go away anytime soon. It should, however, prompt companies to rethink dealings with the agency. Joe Mont has more.
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ArticleAuditors plan to dig into controls, risk in year-end audits
Auditors preparing for the upcoming year-end audit cycle are assembling a long list of accounting, regulatory, and market concerns. Tammy Whitehouse has more.
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Article
The rewards for corruption in British football
U.K. footie can’t claim to be “the beautiful game” when it’s being stained by corruption. Paul Hodgson reports.
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Article
Why can’t HM Revenues and Customs get out of its own way?
According to a panel of academics and tax experts, the U.K.’s leading tax authority is too big, too slow, and too ineffective to persist in its current form. Neil Hodge has more.
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Blog
Walter Investment names chief risk and compliance officer
Walter Investment Management, a diversified mortgage banking firm, has appointed Alfred Young, as chief risk and compliance officer, effective Oct. 24. He will report to Walter's Chief Executive Officer and President Anthony Renzi.
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Blog
Dean Capital Management names chief compliance officer
Dean Capital Management, an employee-owned registered investment advisor, has appointed Jessica Skinner as chief compliance officer and director of operations for the firm.
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Blog
SEC's Melissa Hodgman Named Associate Director in Enforcement
The SEC's Melissa Hodgman has been named as an Associate Director in the Division of Enforcement, filling a key senior position left vacant when Stephen L. Cohen departed the agency in June 2016.