All Compliance Week articles in Web Issue – Page 962
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Blog
Trump Administration’s regulatory rollback attracts lawsuits
In response to its plans for a massive regulatory rollback, the Trump Administration is defending itself against a growing number of lawsuits from both activist groups and state officials.
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Blog
Senators demand answers from United Airlines
Following an incident where a passenger was dragged off a flight to accommodate employees, Senate Democrats are demanding that the CEO of United Airlines answer questions about the incident and company policies.
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Blog
Is KPMG getting tainted audit inspection results?
The inspection information leak that led to dismissals at KPMG and the PCAOB raises big questions about how to assure fair and transparent inspection results for all Big 4 firms.
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Conifer Health Solutions names chief compliance officer
Conifer Health Solutions has appointed Daniel Feldman as senior vice president and chief compliance officer. In this role, Feldman assumes responsibility for managing Conifer Health’s enterprise-wide ethics and compliance program.
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Blog
SEC adopts slate of JOBS Act amendments
The SEC has announced ammendments to JOBS Act-related rulemaking pertaining to crowdfunding, securities offerings, and emerging growth companies. The changes adjust certain thresholds for inflation.
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CFPB will update mortgage data rule
The CFPB will update its 2015 Home Mortgage Disclosure Act rule. Changes are meant to clarify the rule's data collection and reporting requirements, assisting firms that have faced confusion as they ramp up compliance.
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MediaPro launches GDPR Privacy Awareness Solution
MediaPro recently launched its General Data Protection Regulation (GDPR) Privacy Awareness Solution, designed to help companies comply with one of the most significant data privacy regulatory updates in recent years.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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British PM calls for early election
British Prime Minister Theresa May is calling for an early election in hopes to foil Brexit opposition plans.
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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.
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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.
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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.
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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.
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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.