Compliance
Michael Volkov details the settlement between the U.S. OFAC and Haverly Systems, which was found to be in violation of federal sanctions.
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Data security is a boardroom issue, a geographical issue and a local issue. The cost of noncompliance can be crippling, both financially and reputationally.
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The Export Control Reform Act became law last August. Here, Wendy Wysong and Hena Schommer analyse what the regulation means for companies.
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Brian McCalmon concludes his three-part series on antitrust risk in this installment on the potential risks of participating in a trade association.
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Compliance has yet to adopt a proper management system to substantiate the critical role they play. SEI’s Kevin Byrne discusses how, rather than continuing to raise compliance issues as they occur, CCOs should graduate to consistent, ongoing management-level reporting.
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Michael Volkov sheds light on recent False Claims Act cases brought against Duke University and MedStar Health – both with violations spanning multiple years.
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Fenergo’s Rachel Woolley discusses how the growing challenge of regulatory change management will impact functions beyond compliance.
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As consumers increasingly rely on cashless spending, the PCI SSC has identified a process to secure cardholder data. Acceptto CEO Shahrokh Shahidzadeh discusses why it’s time to replace password-based credentials.
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Donna Boehme defines compliance subject matter expertise, explains where it comes from and makes the case for why it’s invaluable.
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Compliance officers eligible to participate in the SEC and CFTC whistleblower programs must navigate strict rules. Speaking up always carries risk, but – as Michael Filoromo and Zac Arbitman explain – the SEC, CFTC and various federal and state laws...
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WinMagic’s Garry McCracken discusses the encryption capabilities that are built into Linux, the gaps in protection/compliance risks, and what companies can do to address them.
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The FAA just moved to bring more transparency to charter aviation. Darcy C. Osta, a veteran aviation attorney with LeClairRyan, explains how those who charter aircraft can use the new rules to maximize safety.
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- Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut June 25, 2019SEC Charges Unregistered Security-Based Swaps Broker with Defrauding Retail Customers
- Richard Vu Nguyen, et al. June 25, 2019SEC Halts Fraud Targeting Vietnamese-American Community
- Avi Chiat June 24, 2019SEC Obtains Final Judgment Against Defendant in Hedge Fund Fraud Scheme
