IT Compliance Advisor:

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February 5, 2016  12:20 PM

Barclays, Credit Suisse to pay $154M for ‘dark pool’ trading violations

Fran Sales Fran Sales Profile: Fran Sales
Compliance, Data governance, Data privacy, Data protection, EMV, PCI compliance, Safe Harbor, SEC

The U.S. Securities and Exchange commission announced last week that global banks Barclays and Credit Suisse would pay a record total of more than $154 million to settle allegations over "dark pool" trading. In other recent GRC news, retailers continue to face EMV chip hurdles months after new...

December 22, 2015  4:56 PM

GDPR: How will the EU data protection law impact U.S. industry?

Fran Sales Fran Sales Profile: Fran Sales
Compliance, cybersecurity, Cybersecurity legislation, Data privacy, Data protection, EU directive 95/46, European Data Protection legislation, Safe Harbor

Three years in the making, European Union officials finally agreed on a draft of the General Data Protection Regulation. The EU-wide legal framework sets standards for data...


December 9, 2015  5:15 PM

New York proposes banking rules to block terrorism funding

Fran Sales Fran Sales Profile: Fran Sales
Compliance, Dodd-Frank, grc, HIPAA, SEC

The governor of New York has introduced new state banking rules designed to curb money laundering and block terrorism funding. Also in recent GRC news: Most healthcare organizations lack HIPAA-compliant messaging apps; the Fed adopts stricter bailout measures; and a former SEC commissioner says the...


November 12, 2015  8:51 AM

Fed Chair says regulatory compliance problems persist at large banks

Fran Sales Fran Sales Profile: Fran Sales
Audit and compliance, CFO, Compliance, Dodd-Frank, Finance, Financial firms, Financial industry, grc, GRC strategy, regulatory compliance, Risk management

In recent regulatory compliance news, the Federal Reserve Chairwoman testified before a House panel that very large U.S. banks still experience "substantial" GRC management failures; recent research casts doubt on...


October 29, 2015  12:27 PM

Goldman Sachs faces $50 million fine to settle document leak case

Fran Sales Fran Sales Profile: Fran Sales
Compliance, Finance, Financial regulations, grc, regulatory compliance, SEC, SOX

This week, Goldman Sachs agreed to pay a $50 million fine to settle a case in which a former employee leaked confidential information from the New York Fed. Also in the news: Bristol-Myers Squibb and other pharma companies face foreign bribery probes; a study found that earnings misstatements are...


October 15, 2015  4:15 PM

What’s compliance worth to the business?

Fran Sales Fran Sales Profile: Fran Sales
board, Chief Compliance Officer, Compliance, grc, risk

In part one of this blog post, we unpack the drivers behind the surge of demand on compliance investments and skilled staff, including new agencies that...


October 15, 2015  4:13 PM

As regulatory wave swells, boards put new focus on compliance functions

Fran Sales Fran Sales Profile: Fran Sales
Chief Compliance Officer, Compliance, grc, regulatory compliance, risk

Boards of directors are increasingly seeing the value of regulatory compliance, as the past year has seen a worldwide spike in compliance spending and the hiring of skilled compliance staff, according to data collected...


September 2, 2015  5:52 PM

Apple CEO Tim Cook’s email may have violated SEC disclosure rules

Fran Sales Fran Sales Profile: Fran Sales
Apple, Apple iOS, Compliance, cybersecurity, Cybersecurity legislation, Data security breaches, FTC, grc, Information security, malware, Mobile security, Palo Alto Networks, SEC

Lawyers say Apple CEO Tim Cook may have flouted the Securities and Exchange Commission's fair-disclosure regulation when he sent a CNBC correspondent an email containing company performance information. In other GRC news from the past few weeks: Charles Schwab is fined $2 million for capital...


August 27, 2015  6:49 PM

Information governance key to compliance automation success

Ben Cole Ben Cole Profile: Ben Cole
Compliance, grc, Information governance

(This blog post was written by Diane K. Carlisle, executive director of content at ARMA International.) So, your attempt to manage the governance, risk, and compliance (GRC) program with a series of complex spreadsheets leaves you in a state of massive depression. You've...


August 19, 2015  5:52 PM

SEC greenlights Dodd-Frank pay-ratio rule, backs internal whistleblowers

Fran Sales Fran Sales Profile: Fran Sales
Compliance, Dodd-Frank, Financial industry, grc, Regulations, regulatory compliance, SEC, Whistleblower

The U.S. Securities and Exchange Commission (SEC) announced this month that it has approved a contentious pay-ratio rule first introduced by the Dodd-Frank Act five years ago. Also in recent...


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