Searching Content indexed under Compliance by Joseph Moreno ordered by Published Date Descending.
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Marketing And Printing Services Provider Settles FCPA Charges
A Wisconsin-based marketing digital and print services provider settled SEC charges that it violated the anti-bribery and books and records provisions of the Foreign Corrupt Practices Act
United States
8 Oct 2019
SEC Provides New Guidance To Public Companies On Cybersecurity Disclosure Obligations
The SEC issued interpretive guidance intended to help public companies prepare disclosure statements about cybersecurity risks and incidents.
United States
28 Feb 2018
New PCAOB Rules Require Reporting Of "Critical Audit Matters"
The new rules will more closely align U.S. auditing standards with those adopted (i) by the International Auditing and Assurance Standards Board...
United States
13 Nov 2017
OCIE Cybersecurity Report Shows "Overall Improvement"
OCIE National Examination Program staff reported an overall improvement in awareness of cyber-related risks and the implementation of certain cybersecurity practices since the OCIE's Cybersecurity 1 Initiative.
United States
14 Aug 2017
Airline Settles SEC Charge Of Compliance Violations In Anti-Corruption Case
United Airlines ("United") settled charges with the SEC for failing to follow its own compliance policies and procedures designed to prevent corrupt practices.
United States
15 Dec 2016
United Airlines Settles With SEC For Side-Stepping Its Own Anti-Corruption Controls: Management Override For A Ride Over To South Carolina
By unilaterally approving the Newark-to-Columbia route, the Chief Executive Officer also disregarded these requirements.
United States
14 Dec 2016
SEC Proposes Requiring Business Continuity And Transition Plans For Investment Advisers
If approved, the SEC's proposed rule would convert an industry best practice for investment advisers – the implementation of a business continuity plan ("BCP") – into a requirement.
United States
8 Jul 2016
SEC Proposal Would Require Business Continuity And Transition Plans For Investment Advisers
Citing the ongoing risk of terrorist and cyber-attacks, the 2008 financial crisis, and Hurricanes Katrina and Sandy, the SEC has issued proposed rules under the Investment Advisers Act of 1940.
United States
4 Jul 2016
CFPB Proposed Rules Address Payday Loans And Impose New Customer Diligence Requirements
The Consumer Financial Protection Bureau ("CFPB") last week announced long-awaited proposed rules governing payday loans and other high-cost credit products...
United States
14 Jun 2016
FinCEN Issues Final Rules For Customer Due Diligence Requirements
On May 11, 2016, the Financial Crimes Enforcement Network ("FinCEN") issued the final version of its long-awaited "Customer Due Diligence Rules" under the Bank Secrecy Act.
United States
23 May 2016
U.K. Guidelines Emphasize Importance Of Robust Programs
In January, the Sentencing Council of England and Wales issued its first set of guidelines applicable to corporate white collar offenders.
3 Apr 2014
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