Compliance

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12 ESG-Related Topics Worthy of the C-Suite and Boardroom

Environmental, social and governance reporting has come into its own as a discipline, with most companies now issuing sustainability reports. What’s the board’s and executive team’s role in ensuring that these reports are responsive to investor needs? An estimated 95 percent of the S&P 500 published detailed environmental, social and governance (ESG) sustainability reports in 2019. Most of these reports...

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A Laundry List of Compliance Failures Landed BitMEX a $100M Penalty from CFTC and FinCEN

In a recent assessment, CFTC and FinCEN found the virtual currency exchange BitMEX lacked a number of licenses and had inadequate KYC, AML and CIP practices, among other infractions. The exchange incurred a $100 million penalty as a result. with contributing authors Jessica Hillier and Amanda Bonello On August 10, 2021, the Commodities Futures Trading Commission (CFTC) and Financial Crimes...

People receive the covid vaccine in a California vaccination center.

With Full FDA Approval, Vaccine Mandates Are More Likely than Ever to Withstand Legal Challenges

Even before the Pfizer COVID-19 vaccine received full FDA approval, legal challenges to employer or government vaccine mandates were unlikely to be successful. One judge has already ruled in favor of defendants, while others are pending. Governments and private employers continue to grapple with the best way to achieve a safe workplace for their employees in light of COVID-19 and...

A man is seen talking in the window of the Australia Securities Exchange in Sydney.

ASIC’s Breach Reporting Update: A Perfect Storm of Confusing Ambiguities and Increased Reporting

Announced in April, the Australian financial regulator's CP 340 goes into effect in October. ASIC's breach reporting update is going to make life more difficult and potentially more confusing for compliance officers at financial institutions across the country. The Australian Securities and Investments Commission (ASIC) released its new breach-related obligations on April 2021 with CP (consultation paper) 340. The new...

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How to Avoid Global Accounting Compliance Time Bombs When Expanding Internationally

When managing global operations, companies must prepare two different accounting books for each country: one for internal reporting and one for local compliance purposes. weConnect’s Matthew Kyle explains how companies can avoid huge headaches and audit issues by marrying management and statutory accounting. Sponsored The Difference Between Management Accounting and Statutory Accounting As you may know, “statutory accounting” is the...

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How AI Technologies Can Undermine Employment Law Compliance

There's no doubt that AI in hiring has the potential make HR processes more efficient. But implementing this technology also carries with it significant risks that can nullify any workflow gains and carry outsized downstream consequences. Artificial intelligence (AI) technologies hold so much promise for the workplace. Technologies exist that can (at least in theory) improve productivity, reduce or eliminate...

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