IT Compliance Advisor:


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...

August 5, 2015  5:28 PM

DOJ enlists compliance counsel to determine corruption charges

Fran Sales Fran Sales Profile: Fran Sales
Compliance, Governance, grc, SEC

The U.S. Justice Department is in the process of taking on a compliance specialist to help determine whether to prosecute companies charged with foreign bribery. Also in recent GRC news: Mead Johnson Nutrition Co. will pay the SEC $12 million to settle foreign bribery charges; and a Goldman Sachs...

July 31, 2015  4:43 PM

Finance firms spend millions on compliance, but lack long-term strategy

Fran Sales Fran Sales Profile: Fran Sales
Chief Compliance Officer, Compliance, Dodd-Frank, Financial firms, Financial industry, GRC strategy, regulatory compliance

Numerous regulations were introduced worldwide to make financial services institutions more resilient following the monetary crisis of 2007 to 2008. Now, these regulations, which global management consulting firm Accenture collectively calls global structural reform (GSR), are having an impact on...

July 22, 2015  8:39 PM

Dodd-Frank creators discuss the law’s impact; SEC leads FIFA bribery probe

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

Five years after the Dodd-Frank Act was enacted, the creators of the law contemplate the wide-ranging legislation's impact on the financial and banking industries. Also in recent GRC news: The SEC heads a civil probe into public companies potentially involved in the FIFA bribery scandal, and...

July 9, 2015  9:25 PM

SEC commissioner calls for expanded Reg SCI; PCI SCC updates P2P standard

Fran Sales Fran Sales Profile: Fran Sales
Compliance, cybersecurity, Data Encryption, Dodd-Frank, Financial regulations, grc, PCI, PCI DSS, regulatory compliance, SEC

SEC commissioner Luis Aguilar strongly urged his colleagues at a cybersecurity conference last month to push Reg SCI up on their priority lists, particularly in terms of widening the...

June 5, 2015  5:11 PM

Data as currency: Balancing risk vs. reward

Ben Cole Ben Cole Profile: Ben Cole
Compliance, Data-security, Information governance

(This blog post was written by Jeff Whited, senior manager of education development at ARMA International.) By leveraging big data as an asset, organizations are tapping new business efficiencies and revenue streams. Credit card companies, for instance, sell data on customers' buying...

May 28, 2015  1:31 PM

Wall Street, small banks still plagued by regulatory compliance enforcement

Fran Sales Fran Sales Profile: Fran Sales
Banking industry, Chief Compliance Officer, Compliance, Dodd-Frank, Financial fraud, Financial industry, Financial regulations, grc, regulatory compliance

If recent headlines are any indication, Wall Street banks and other financial institutions continue to garner poor marks when it comes to regulatory compliance: Earlier this month, several major global banks pleaded guilty to federal accusations regarding the rigging of foreign exchange rates. Also...

May 6, 2015  4:44 PM

SEC calls for more executive pay transparency; proposed law could allow hacked firms to keep mum

Fran Sales Fran Sales Profile: Fran Sales
Cell phones, CIO, Compliance, Customer data, Data breach disclosure, Data breach notification laws, Data privacy, Dodd-Frank, FBI, gps, Hacking, SEC, tracking

The Securities and Exchange Commission (SEC) is pushing to provide U.S. shareholders with better metrics to compare executive pay against company performance. In other GRC headlines from recent weeks: A new law moving through Congress could allow breached companies to keep intrusions under wraps;...

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