GRC Conferences, Seminars & Events - Compliance Week
WEBApril 28-30 | Washington, D.C. Back for it's 20th year, join 500+ compliance, ethics, legal, and audit professionals who gather to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs. Compliance Week is proud to host this landmark event, designed specifically for compliance and risk ...
Compliance Week | News, Events & Thought Leadership for the …
WEBSeven public companies will pay a total of $3 million in fines for requiring employees to sign agreements containing provisions that impeded their ability to report misconduct to the Securities and Exchange Commission. For the well-informed Chief Compliance Officer and audit executive: Industry news, resources, webcasts, and more.
Compliance failures at JPMorgan highlighted in record $920M …
WEBSep 29, 2020 · News Brief SEC fines Esmark, CEO combined $600K over false offer to U.S. Steel Corp. 2024-09-09T18:28:00Z By Aaron Nicodemus. A privately held family company and its CEO, who announced a $10 billion bid to buy U.S. Steel without having the cash on hand, will pay $600,000 in penalties to the Securities and Exchange Commission for making materially false statements.
Topics | Governance, Risk & Compliance | Compliance Week
WEBCW2024 panelists discuss BYOD at center of off-channel comms debate. Coverage on compliance, corporate governance updates, data privacy, regulatory policy and enforcement, and everything in between. Explore recent compliance, risk & governance news at Compliance Week.
Five key going concern considerations for 2021 reporting
WEBMar 29, 2021 · Five key going concern considerations for 2021 reporting. By Maria L. Murphy Mon, Mar 29, 2021 5:54 AM. Evaluating potential going concern issues was a hot topic for companies and their auditors in 2020. With first-quarter 2021 reporting around the corner, Maria Murphy offers five key considerations to be thinking about.
Transaction monitoring: How we can do better - Compliance Week
WEBJun 28, 2022 · Transaction monitoring is a key control used by financial institutions to identify suspicious transactions and mitigate the risk of financial crime. While the requirement to undertake transaction monitoring evolved because of anti-money laundering (AML) legislation, its importance has been magnified and …
Report: Fines against financial institutions hit $10.4B in 2020
WEBDec 22, 2020 · Article Westpac set to pay record $912.6M civil penalty for AML failures. 2020-09-25T15:53:00Z By Jaclyn Jaeger. Westpac is bracing for a record AUD$1.3 billion (U.S. $912.6 million) civil penalty issued by Australia’s financial crime regulator related to a money-laundering scandal and the facilitation of child exploitation in the Philippines and Southeast Asia.
ESG survey: Measure, monitor, and enhance your strategy
WEBSep 22, 2021 · ESG survey: Measure, monitor, and enhance your strategy. By Aaron Nicodemus Wed, Sep 22, 2021 11:01 AM. A Compliance Week and Fulcrum survey of more than 200 compliance, audit, legal, and finance executives worldwide revealed support for ESG initiatives, but uncertainty about how to monitor progress and measure results.
What is Conduct Risk and How Can Technology Mitigate it?
WEBAug 21, 2018 · What is Conduct Risk and How Can Technology Mitigate it? Conduct risk poses an existential threat to companies across industries and jurisdictions because regulators, auditors and other oversight professionals are increasingly holding senior managers accountable for the actions of individuals associated with a firm. THIS IS MEMBERS-ONLY CONTENT.
Just what is ‘reasonable assurance’? | Article - Compliance Week
WEBJust what is ‘reasonable assurance’? By Jose Tabuena Tue, Jan 21, 2014 4:00 PM. A term of art in the audit profession that is tossed around but not well-understood is “reasonable assurance.”. What does it actually mean when an audit report attests with reasonable assurance that the financial reporting or internal controls are reliable?
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