SEC Fails to Decide Whether U.S. Brokerage Compliance Officers are Supervisors
Just how far should U.S. compliance officers go to supervise and even fire rogue brokers? In a tie-vote, the Securities and Exchange Commission recently dismissed a case against a former compliance officer for not taking sufficient action to either firemore
Federated Rule Fight, Davos Roundup, SEC Watchdog: Compliance
12:23 AM EST Shareholder Arbitrations, Mutual Funds, Finra: Compliance Derivatives Bills, Greenlight Capital, Baer: Compliance By Carla Main Jan. 30 (Bloomberg) -- Federated Investors Inc., the third- largest manager of U.S. money-market mutual funds, ismore
QATAR: QFC Regulatory Authority publishes guide to corporate governance for QFC authorized firms
QATAR: The QFC Regulatory Authority, the independent regulatory body of the Qatar Financial Center (QFC), has issued its ?Guide to Corporate Governance? for QFC authorized firms...more
ROC OIL COMPANY LIMITED: Update to Corporate Governance Documents and Share Tra..
UPDATE TO CORPORATE GOVERNANCE DOCUMENTS AND SHARE TRADING POLICY ROC recently reviewed its corporate governance policies and charters. Where applicable, policies were updated to reflect any developments in the Corporations Act, ASX Listing Rules, ASXmore
ROC OIL COMPANY LIMITED: Update to Corporate Governance Documents and Share Trading Policy
UPDATE TO CORPORATE GOVERNANCE DOCUMENTS AND SHARE TRADING POLICY ROC recently reviewed its corporate governance policies and charters. Where applicable, policies were updated to reflect any developments in the Corporations Act, ASX Listing Rules, ASXmore
Federated Investors Rule Fight, Davos Roundup, SEC Watchdog: Compliance ? Bloomberg
Federated Investors Inc. (FII), the third- largest manager of US money-market mutual funds, is planning legal action to block rule changes being contemplated by the US Securities and Exchange Commission that the company said could destroy the $2.7 ...more
Crisa will give governance a voting chance
The very good news is that with effect from Wednesday all institutional investors and financial service providers will be under pressure to disclose their voting records. The Code for Responsible Investing in SA (Crisa) comes into effect on that day;more
NSE commends Niger Insurance's level of compliance
MANAGEMENT of the Nigerian Stock Exchange (NSE) has commended the management of Niger Insurance Plc?s level of compliance with market requirements and information disclosure, observing that the 50-year old underwriting firm keeps a functional websitemore
Africa Directors Duties, Principles Practices Of World Class Corporate Governance
Venue: Birchwood Hotel, Johannesburg, South Africa. This workshop will equip Directors, Company Secretaries, Finance Directors, Senior Managers, CFOs, Compliance Officers, CEOs, Company Directors, Financial Controllers, Risk Managers, Chief Operationmore
Corporate Governance - What You Ought To Learn Posted By: Michelle Hopkins
Corporate governance is a expression used to spell out a set of programs, procedures, concepts and likewise techniques of how companies are handled and monitored. It will help control how the board committee oversees the entire operating of the companymore
BSP Drafting More Governance Circulars
MANILA, Philippines ? The Bangko Sentral ng Pilipinas (BSP) will come out with three circulars on corporate governance this year in an effort to strengthen governance standards for banks and the overall financial sector. The first of the threemore
Corporate Governance & Risk Management: Compendium 2012
This 354-page eBook contains a selection of articles on Corporate Governance & Risk Management published by Financier Worldwide throughout 2011. The contents include banking and finance risk, bribery and corruption, M&A risk, corporate fraud,more
Eye On: Cloud Compliance
Data Loss Prevention, Data Analysis and Classification, Data Security and Cloud Computing, Identity Theft and Data Security Breaches, Enterprise Data Governance, Disk Encryption and File Encryption, Database Security Management Secure SaaS: Cloudmore
Bhavesh Vadhani, CISA, CGEIT, CRISC, Director, Risk Services, Watkins Meegan LLC to Speak at KC?s Sarbanes-Oxley: How to Assess IT Controls Live Webcast - Technology News
Bhavesh Vadhani, CISA, CGEIT, CRISC, Director, Risk Services, Watkins Meegan LLC to Speak at KC?s Sarbanes-Oxley: How to Assess IT Controls Live Webcast New York, NY, January 26, 2012 ?(PR.com)? The Knowledge Group/The Knowledge Congress Livemore
Best overall governance, compliance and ethics (large-cap)
Transparency is the best policy. Often, it?s not what you do but how you do it that grabs people?s attention. Transparency has always been an integral part of Microsoft?s governance, compliance and ethics programs, but the company has continued tomore
Crucial SEC vote leaves compliance officers in the dark
Dismisses case against Urban, but offers no clarification on scope of responsibility The Securities and Exchange Commission has dismissed a case against a compliance officer that could have set the limits for how far a firm must go in addressing internalmore
Pace keeps pace with global regulation
John Alan James, executive director of Pace University?s new Center for Global Governance, Reporting and Regulation at the Lubin School of Business in White Plains. John Alan James, a former international management consultant and a professor atmore
BDO USA LLP Named Sponsor at Knowledge Congress' Event Sarbanes-Oxley: How to Assess IT Controls Li
BDO USA LLP, one of the leading accounting firms in the country, teams up with The Knowledge Group for KCs upcoming webcast entitled Sarbanes-Oxley: How to Assess IT Controls. This two-hour event will be held on Wednesday, March 14, 2012 at 12:00 PM -more
Former SEC Compliance Chief, State Securities Regulator Hit Compliance Hot Buttons
At FSI conference Walsh and Cronin address top compliance issues facing indie BDs In a standing-room-only session on Tuesday at the FSI OneVoice 2012 conference in Orlando, a panel including John Cronin, Vermont's securities director, and John Walsh, amore
Since the Sarbanes-Oxley Act, many U.S. companies don?t get enough public cash to manage to scale globally in the beginning. They only overcome this burden with massive A and B rounds.
Extract not available.more
Inside Experts: Information governance takes the stage in 2012
Linking proactive data management and reactive e-discovery processes As we start a new year, many vow to make significant changes as part of their New Year?s resolutions. A top one is often the vow to lose weight, where earnest people from all walks ofmore
The project Rwanda - Governance & Competitiveness TA Project has changed to Active
Project ID: P127105 | Project Status: Active The objective of the Governance for Competitiveness Technical Assistance Project is to strengthen the institutional capacity of selected institutions to improve competitiveness in selected sectors in Rwanda.more
Views sought on 'unnecessary' company law regulations
COMPANIES of all shapes and sizes have been asked for their views on how to tackle unnecessary bureaucracy in company and commercial law. For the next three weeks, the latest phase of the Red Tape Challenge will focus on more than 120 company lawmore
Views sought on 'unnecessary' company law regulations
COMPANIES of all shapes and sizes have been asked for their views on how to tackle unnecessary bureaucracy in company and commercial law. For the next three weeks, the latest phase of the Red Tape Challenge will focus on more than 120 company lawmore
Views sought on 'unnecessary' company law regulations
COMPANIES of all shapes and sizes have been asked for their views on how to tackle unnecessary bureaucracy in company and commercial law. For the next three weeks, the latest phase of the Red Tape Challenge will focus on more than 120 company lawmore
Views sought on 'unnecessary' company law regulations
COMPANIES of all shapes and sizes have been asked for their views on how to tackle unnecessary bureaucracy in company and commercial law. For the next three weeks, the latest phase of the Red Tape Challenge will focus on more than 120 company lawmore
Views sought on 'unnecessary' company law regulations
COMPANIES of all shapes and sizes have been asked for their views on how to tackle unnecessary bureaucracy in company and commercial law. For the next three weeks, the latest phase of the Red Tape Challenge will focus on more than 120 company lawmore