Week In Compliance: IRS is after rich people

News In Brief

non-complianceIt’s Time to Focus IRS Audits on the Superrich, Inspector General Says by Richard Rubin for Wall Street Journal

“HR departments get a bad rap. That’s because, for better or worse, they tend to excel at enforcing compliance.” by Lisa Nirell for Fast Company 

Common Interview Questions for Compliance Officers by Stella Osoba for Investopedia 

The top 6 Governance, Risk and Compliance certifications by Kim Lindros and Ed Tittel for CIO 

Advisors Take Note: Compliance Officers Are Watching by Bernice Napach for ThinkAdvisor 

3 Tips for Smarter Use of Compliance Technology by Rebekah Mintzer for Corporate Counsel

Banks need to invest more on tech for Basel III compliance: Report from India Times

“Regulatory Compliance LLC, based in Londonderry, is merging with National Compliance Services” by Eli Okun for Union Leader 

Is Compliance Keeping Up With Your Automated Advisory Tools? by Carlos Guillen for Financial Planning

“A new survey from Compliance Solutions at Charles Schwab finds the role of the compliance officer is evolving and growing in scope across corporate America.” by TMC News 

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Marcus Maltempo is a compliance professional with more than a decade of experience helping banks, law firms and clients manage investigations and regulatory responses. He is a member of ACAMS and ACFE. 

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