Supporting IVS compliance in Spain

IVSC

Compliance. However, IVSC and AEV would recommend the adoption of these terms to aid alignment with IVS and in keeping other national valuation standard setters, who adopt these terms to support compliance with IVS. Inclusion of a section on compliance with IVS within valuation reports.

Payroll Compliance: The Essentials

Machen McChesney

Payroll compliance is about meeting your payroll obligations as required by law. Learn how your organization can stay compliant. Payroll, HR & Benefits

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Payroll Compliance: The Essentials

Machen McChesney

Payroll compliance is about meeting your payroll obligations as required by law. Learn how your organization can stay compliant. Payroll, HR & Benefits

Why you need to add the inaugural ComplyConnect Conference & Expo to your compliance conference calendar

Complysci

What is the ComplyConnect Conference & Expo, and why you should add it IMMEDIATELY to your 2022 compliance conference calendar? This conference is a culmination of efforts, bringing together the regulatory compliance industry in Austin, Texas, this November.

Security vs Compliance: Where Do They Align?

Audit Board

If you’ve been wondering where security practices and compliance requirements align and where they diverge, you’re not alone. Security and compliance have synergies, but they aren’t the same, and it can be challenging to tease them apart. What Is Compliance? SOX Compliance .

90-Day Pre-Exam Compliance Program for Retirement Plans

LaPorte

In June, the IRS began piloting a new compliance program for benefit plan sponsors. This program gives benefit plans 90-days’ notice of an upcoming examination,… The post 90-Day Pre-Exam Compliance Program for Retirement Plans first appeared on LaPorte.

How an Outdated Financial Regulatory Compliance Software Hurts Your Program

Complysci

As a Chief Compliance Officer or compliance professional, what does your day-to-day entail? While you might use terms like compliance automation solution or financial regulatory compliance software, Regtech is the official industry terminology. Compliance.

Beverage Alcohol Tax Compliance Insights for 2022

Accounting Web

Sales Tax Beverage Alcohol Tax Compliance Insights for 2022

How Russia Sanctions Are Affecting Compliance

Law 360 M&A

and its partners have imposed on Russia in recent months pose complex compliance challenges for commercial operations, investments and financial transactions, even when there is not a direct or obvious nexus with Russia, say Anthony Rapa and Matthew Thomas at Blank Rome

SEC Commissioner Peirce Discusses Chief Compliance Officer Liability

Reynolds Holding

1] Because Mr. Kirkpatrick was both a principal and the chief compliance officer (“CCO”) of HIC, the action against him merits close consideration. The SEC’s determinations about whether to charge a compliance officer are consequential not only for the particular compliance officer, but more generally for the profession. A good CCO expertly weaves compliance into all of a firm’s activities.

Tips on ESG compliance

Private Funds CFO

Regulators probe private funds’ ESG policies. News & Analysis daily

PCI DSS 4.0: How to Ensure You're in Compliance

Audit Board

How to Ensure You’re in Compliance with PCI DSS v4.0 — and Beyond. Ensuring compliance with a new compliance regime starts with an in-depth review of the latest version of the standard. Conduct a current state analysis of your compliance with PCI DSS. Blog Compliance

Due Diligence: Software License Compliance

John Jenkins

A target’s compliance with its obligations under software licenses is an area of M&A due diligence that doesn’t always get the attention that it should given the magnitude of the potential risks involved. This Holland & Knight memo points out that due diligence efforts are often hampered by M&A lawyers’ lack of awareness of both […

Compliance from the Employee Perspective

Complysci

When deciding on and integrating a new compliance technology, it’s almost too easy to focus solely on your compliance team’s preferences and proclivities without also considering the general employee experience…often to the detriment of your compliance program success.

Due Diligence: Government Contractor Compliance

John Jenkins

The DOJ recently settled a False Claims Act proceeding against a company that erroneously certified that it qualified as a small business in connection with 22 government set-aside contracts that it entered into subsequent to a 2011 acquisition. According to this DLA Piper memo, one interesting aspect of the case is that the violations were […

Meet the ComplySci family of firms: Leaders in compliance technology, consulting and education

Complysci

At ComplySci, we live and breathe compliance and data. In fact, our dedication to regulatory compliance innovation has been one of the biggest drivers in making us a leader in the compliance technology space, serving investment advisers, hedge funds, broker-dealers and more.

Regulatory compliance trends: insight from ComplySci’s Customer Summit

Complysci

While the event spanned over two and a half hours and culminated in multiple nuggets of gold, we’ve gathered the top five insights that are sure to help financial firms shape a culture of compliance now and successful compliance program in the future. Compliance + IT = Success.

ComplySci stats: only 27% of professionals deem their compliance program scalable for future growth

Complysci

Compliance requires precisions. Because, at the end of the day, the regulatory landscape will only continue to expand in complexity and a growing firm simply can’t afford to fall out of compliance. Scaling your compliance program. It requires accountability.

Why You Need to take a Proactive Approach to Finding the Right Financial Regulatory Compliance Vendor in 2022

Complysci

Compliance scope. In 2022, the average compliance program oversees cybersecurity, operational resilience and the conundrum that is cryptocurrency. As a compliance professional, your plate runneth over. Those that took a proactive approach to compliance automation.

Everything you need to know about transitioning to a new compliance platform

Complysci

Fact: transitioning compliance platforms is a huge undertaking. However, with risk – cyber and otherwise – at an all-time high, chief compliance officers (CCOs) must prioritize long-term success rather than settling for what seems easiest in the short-term.

Why firms need accurate, dependable financial compliance software

Complysci

Think back over a typical day in your life as chief compliance officer (CCO) or compliance professional. And compliance is no different. Why the right financial compliance software is so crucial. Lack of credibility associated with your compliance program.

New financial corruption regulations mean firms must update compliance programs

Private Funds CFO

‘New era’ for compliance takes shape. News & Analysis daily

What’s in the news: the top five compliance articles for July 23 – August 5, 2022

Complysci

Compliance innovation moves fast, but the news moves faster. To keep you and your team up to speed on the latest happenings and goings-on in the compliance world, we’ve aggregated the top five articles from the past few weeks to provide you with an in-depth look at the regulatory ecosystem.

Foreside Acquires Cipperman Compliance Services

Business Wire M&A

ComplySci stats: 39% of compliance professionals serving financial firms with government contracted work state the most significant challenge is the creation of and employee education on the firm’s pay-to-play compliance policy.

Complysci

Did you know that 57% of compliance professionals serving financial firms with government contracted work state they are monitoring the political contributions of at least 50 covered associates? ComplySci Stats pay-to-play political contribution compliance

Tips to Navigate FedRAMP Compliance Requirements

Audit Board

FedRAMP authorization is a complex, multi-step process that takes time and careful planning to achieve — read on for our six tips for streamline that process and succeed in navigating FedRAMP compliance requirements. Six Tips for Meeting FedRAMP Compliance Requirements .

IRS Announces Pre-Examination Retirement Plan Compliance Pilot Program

ThomsonReuters

The IRS has announced a pre-examination compliance program for qualified retirement plans, including 401(k) plans. The plan sponsor then will have 90 days to review its plan documents and operations for compliance with Code requirements and respond to the IRS.

How to find and integrate the right financial services compliance software for your firm

Complysci

Recent merger and acquisition (M&A) activity within the financial services compliance software industry has resulted in many firms looking to transition to a new compliance technology …but unsure exactly what to do, how to go about doing it and who needs to be involved.

What’s in the news: the top five compliance articles for July 9 – July 22, 2022

Complysci

Compliance innovation moves fast, but the news moves faster. To keep you and your team up to speed on the latest happenings and goings-on in the compliance world, we’ve aggregated the top five articles from the past few weeks to provide you with an in-depth look at the regulatory ecosystem.

ComplySci Stats: Only 35% of Professionals Deem their Annual Compliance Review Process Sufficient and Efficient

Complysci

Annual compliance reviews are by no means a new concept. And in fact, a recent ComplySci webinar proved just how inefficient many compliance teams’ processes really are, with only 35% deeming their annual review process sufficient and efficient.

Let’s talk about forced labor, and other global regulatory changes affecting supply chain compliance

ThomsonReuters

While useful, these actions carry a heavy burden on supply chain staff, there’s an increased rate of error, and compliance costs as well as penalties for noncompliance are high. Effect of the Russia-Ukraine conflict on supply chain compliance.

What the FCA strategy means for the future of your financial firm’s compliance program

Complysci

The full FCA strategy encompasses a multitude of regulatory compliance initiatives. Considering the FCA’s robust strategy for 2022 to 2025, firms must take a proactive approach to their compliance program or risk potential enforcement action.

A Cease and Desist to Decentralized Compliance Technology Programs

Complysci

You did your research and selected a one-off compliance solution, or maybe you outsourced a particularly tricky aspect of your compliance program. All in the name of solving your most critical compliance issues. What’s the Problem with Disjointed Compliance Technology?

Universal Proxy: Basic Compliance & Advanced Strategy Webinar

John Jenkins

Last week, The Activist Investor’s Michael Levin hosted a free 1-hour webinar on the SEC’s new universal proxy rules & a free replay of the program is available on Michael’s UniversalProxyCard.com site. I attended the program and thought it was very well done and insightful. In addition to Michael, the panelists were law prof. Scott […

Top Takeaways from the IAA 2022 Investment Adviser Compliance Conference

Complysci

Last week, two of our teammates attended the 2022 IAA Investment Adviser Compliance Conference , talking with experts and attending key sessions. Staying on top of this evolving trends means understanding the scope of ESG and the compliance impact.

ComplySci stats: 65% of regulatory compliance departments serve a hybrid workforce

Complysci

Whether your regulatory compliance department is a team of one or 100, the evolution of work over the last two years has probably presented some unique and unexpected challenges for your financial firm. And that changed compliance programs for good.

Anti-money-laundering innovations and evolving financial crime risks: The future of compliance

McKinsey

Geopolitical strife and digital assets are among the new risks compliance organizations must fight. Emerging technologies can help. Risk & Resilience Insights Risk Management

How to Facilitate a Culture of Controls Compliance

Audit Board

I have found that developing a culture of controls compliance — one that embeds control processes into the relevant daily work — is a more efficient and effective approach. Using a compliance software solution has its own added benefits. Sometimes control compliance can feel chaotic.

Making Time: How ComplySci Helps Compliance Teams Save Time and Increase Productivity

Complysci

What’s the single most limited resource for a financial firm’s compliance team? More time = more ability to tackle big picture compliance challenges and firm-wide strategic initiatives. Time Savings with ComplySci – How to Make Your Compliance Team More Efficient.

Privitar Announces Kormoon Acquisition, Extending Data Privacy and Provisioning Capabilities To Drive Automation of Data Compliance Requirements at Scale

Business Wire M&A

LONDON & BOSTON--(BUSINESS WIRE)--Privitar acquires Kormoon, extending data privacy and provisioning capabilities to drive automation of data compliance requirements at scale

What’s in the news: the top five compliance articles for June 11 – 24, 2022

Complysci

Compliance innovation moves fast, but the news moves faster. To keep you and your team up to speed on the latest happenings and goings-on in the compliance world, we’ve aggregated the top five articles from the past few weeks to provide you with an in-depth look at the regulatory ecosystem.

IRS 90-day pre-examination compliance pilot for retirement plans

LaPorte

(authored by RSM US LLP) The IRS is piloting a pre-examination compliance program for retirement plans, which provides plan sponsors with 90-day window to review plan operations and make corrections prior to examination.

AuditBoard Unveils Enhanced Automation Capabilities for Security Compliance Teams at ISACA North America 2022

Audit Board

LOS ANGELES, CA — May 4, 2022 — AuditBoard, the leading cloud-based platform transforming audit, risk, and compliance management, today announced a set of new advanced automation capabilities for its award-winning CrossComply solution.