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revenue recognition in asset management

Revenue Recognition in the Asset Management Industry – EY

A new revenue recognition standard set for implementation in December, ASC 606, is set to shake up the asset management industry. Many managers may be overlooking the burdens it will create for their operations and their ability to compare different funds.

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The Telia Resolution: Who Knows What Evil Lies in the Hearts of Men? – By Tom Fox

While the resolution of the Telia Company (Telia) Foreign Corrupt Practices Act (FCPA) matter has long been awaited, the results announced in September by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) were stunning nonetheless.

Privacy and the Eu GDPR

Privacy and the EU GDPR: US and UK Professionals – TrustArc

New comparative UK and US research uncovers differences, challenges and investments to address GDPR data protection requirements

Getting to GDPR Compliance

Getting to GDPR: Risk Evaluation and Strategies for Mitigation – IAPP & TrustArc

With less than seven months to comply with the GDPR, the most sweeping change to data protection in decades, companies all over the world are determining how to best adjust their internal systems and processes in order to address increasingly strict compliance requirements.

Decade of Digital: Keeping Pace with Transformation - OWC

A decade of digital

The expansion of business technology has been monumental in the 10 years PwC has conducted its annual Digital IQ survey, yet executives’ confidence in their ability to capitalize on digital change is at an all-time low.

The Halliburton FCPA Enforcement Action - Tom Fox

The Halliburton FCPA Enforcement Action

SEC’s resolution of its outstanding Foreign Corrupt Practices Act (FCPA) enforcement action with Halliburton spelled out a bribery scheme facilitated by both a failure and over-ride of company internal controls.

Tempered Networks Identify Defined Platform - Coalfire

Colafire: Tempered Networks

One of the recommendations for organizations to obtain PCI DSS compliance is to ensure segmentation of the cardholder’s data environment from the remainder of the network.  Proper network segmentation will isolate systems that store, process, or transmit cardholder data, thereby restricting access to as few locations as possible.

Two Superior Results: Tom Fox

Two Superior Result: Declinations by Tom Fox

The DOJ issued two declinations demonstrating the DOJ Pilot Program is alive and well. Linde Gas and CDM Smith, both received declinations to prosecute by meeting the four prongs of the Pilot Program; self-disclosure, extensive cooperation, extensive remediation, and profit disgorgement.  These cases demonstrate the clear advantages of self-disclosure.

The Ultimate Guide to IT Audit Readiness

ultimate guide to IT audit readiness

As if the job of an IT manager or leader was not already challenging enough, today’s IT risk and regulatory environment is constantly increasing in complexity. Alongside this, there is an unprecedented proliferation of business devices, systems and data, creating more ever-changing risks.

New DOJ Evaluation: Valuable Information for the Compliance Officer

doj: valuable document for compliance officers by tom fox

DOJ released a document on the Fraud Section of its website, an  11-part list of questions that encapsulates their s most current thinking on what constitutes a best practices compliance program. Within the list are some 46 different questions that a COO can use to benchmark a compliance program.

Applying AI Technology to Reduce AML Risk for Global Financial Institutions

Applying AI Technology to Reduce AML Risk for Global Financial Institutions

By leveraging advancements in data science such as artificial intelligence (AI) and machine learning, financial institutions can set a new standard of AML compliance, mitigating regulatory risk more effectively and saving the industry billions of dollars in fines.

Electronic Communications Compliance Survey Report - Smarsh

Smarsh Electronic Communications Compliance Survey Report

Against the backdrop of political shifts in Washington and growing popular distrust of “big finance,” the seventh annual Smarsh survey of compliance professionals in the financial services industry reveals that the electronic communications compliance landscape has become broader, more complex and more scrutinized.

Ongoing Monitoring of Third-Party Relationships - Kroll

Ongoing Monitoring of Third-Party Relationships - Kroll

As companies continue to globalize their business opportunities, they are exposed to an ever-widening environment of anti-bribery and anti-corruption regulations. Moreover, the enforcement of such laws is increasing; for example, 2016 was a record year in terms of the number of Foreign Corrupt Practices Act (FCPA) actions brought by U.S. regulators and the amount of monetary penalties imposed.

New DOJ Evaluation: Valuable Information for the Compliance Officer

doj: valuable document for compliance officers by tom fox

DOJ released a document on the Fraud Section of its website, an  11-part list of questions that encapsulates their s most current thinking on what constitutes a best practices compliance program. Within the list are some 46 different questions that a COO can use to benchmark a compliance program.

Applying AI Technology to Reduce AML Risk for Global Financial Institutions

Applying AI Technology to Reduce AML Risk for Global Financial Institutions

By leveraging advancements in data science such as artificial intelligence (AI) and machine learning, financial institutions can set a new standard of AML compliance, mitigating regulatory risk more effectively and saving the industry billions of dollars in fines.

Electronic Communications Compliance Survey Report - Smarsh

Smarsh Electronic Communications Compliance Survey Report

Against the backdrop of political shifts in Washington and growing popular distrust of “big finance,” the seventh annual Smarsh survey of compliance professionals in the financial services industry reveals that the electronic communications compliance landscape has become broader, more complex and more scrutinized.