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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 30, 2015  5:37 PM

Fitbit achieves HIPAA compliance, targets more corporate customers

Fran Sales Fran Sales Profile: Fran Sales
CFO, grc, HIPAA, HIPAA Compliance, regulatory compliance, SEC, Wearable devices

Wearable fitness tracker company Fitbit recently announced that its devices are now HIPAA-compliant, broadening the types of businesses it aims to work with. Also in recent GRC news: CFOs report widespread earnings misrepresentation; SEC proposed changes to its administrative...

September 16, 2015  5:21 PM

Court rules that Dodd-Frank protects internal whistleblowers

Fran Sales Fran Sales Profile: Fran Sales
boards, Dodd-Frank, grc, GRC management, SEC, Senior management, Stock market

The Second U.S. Circuit Court last week decided that whistleblowers who report internally before going to the SEC are covered by Dodd-Frank's anti-retaliation rules. In other recent GRC headlines: New rules that address algorithmic trading risks are imminent, and a survey found that boards of...

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...

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