All Compliance Week articles in Web Issue – Page 773
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Blog
Two Harbors Investment Appoints Chief Risk Officer
Two Harbors Investment, a real estate investment trust, has appointed Robert Rush as chief risk officer, effective Jan. 1, 2015. He assumes the role from Paul Richardson, who will remain in his role as partner and chief risk officer for Pine River Capital Management, the parent of the company’s external ...
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Blog
Actiance Enhances Voice Recording Features for Microsoft Lync 2013
Actiance, a provider of compliance, security, archiving and e-Discovery for all critical business communications, launched newly-released Vantage for Lync features to help enterprises efficiently manage governance challenges for Lync 2013 and previous versions of Lync (Lync will be renamed as Skype for Business in the first half of 2015). Details ...
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Blog
StarCompliance Selects Carpathia for Enhanced Compliance Audit Capabilities
StarCompliance, a provider of employee conflicts-of-interest compliance solutions for financial services firms, has selected Carpathia, a cloud services and managed-hosting provider, to help enhance its security and compliance audit capabilities. Details inside.
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Blog
Total to Face New Corruption Charges in France
One year after paying more than $398 million to U.S. prosecutors for violations of the Foreign Corrupt Practices Act, Total S.A. is expected to face new corruption charges, this time in France. In announcing the settlement last year, Acting Assistant Attorney General for the Justice Department’s Criminal Division Mythili Raman ...
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Blog
Final SEC Trial Scorecard for FY 2014: SEC Posts 5-7-5 Record in 17 Trials
In March 2014, I began tracking the SEC's federal court trials in FY 2014 (which began on October 1, 2013), and the results in each case. The SEC's final trial scorecard in FY 2014 included a total of 17 trials. Of those 17 trials, SEC had five outright victories in ...
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Blog
Ideas for Guidance on Auditing Estimates Draw Mixed Reviews
The Public Company Accounting Oversight Board is getting mixed feedback on its initial ideas for revising guidance on auditing fair-value measurements and accounting estimates. The PCAOB has received nearly 40 letters on the staff's consultation paper on the topic, some suggesting a revision of existing rules, while others suggest a ...
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Blog
U.K. Regulators Fine RBS, Two Others £56M for IT Lapses
Image: Title: McDermottNov. 25—Financial regulators in Britain fined Royal Bank of Scotland, National Westminster Bank, and Ulster Bank a combined £56 million last week for IT failings in the summer of 2012 that left customers without full access to ATMs, online payments, and other banking services. The joint enforcement action ...
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Blog
Business Lobby Targeting Proposed EU Gender Quotas for Boards
Image: Title: SégolNov. 25—A proposed directive to implement EU-wide quotas for women on boards is one of a handful of pending measures the newly installed European Commission should shelve, says BusinessEurope. The lobbying group argued in a notice to the Commission that was leaked to media outlet EurActiv that the ...