Articles | Compliance Week – Page 134
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Analysis: Following the telephone trail to detect fraudsters
One way to thwart money launderers is to take a page from the government’s playbook and examine smartphone applications when the contamination of fraud or money laundering is discovered.
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Microsoft announces chief accounting officer succession
Microsoft disclosed in a regulatory filing the appointment of Alice Jolla as corporate vice president and chief accounting officer, effective July 31. Jolla will replace Frank Brod, who is retiring from the position.
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Options Clearing Corp. promotes chief compliance officer
Options Clearing Corp., the world’s largest equity derivatives clearing organization, announced the promotion of Jennifer Baum to senior vice president and chief compliance officer.
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Happy Money adds compliance chief, general counsel
FinTech firm Happy Money announced the appointment of Jason Altieri as general counsel and chief compliance officer.
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Tricolor names chief compliance officer
Used vehicle retailer Tricolor announced the addition of veteran compliance executive Stacie Trier as chief compliance officer.
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Akcea appoints chief compliance officer
Akcea Therapeutics, a majority-owned affiliate of Ionis Pharmaceuticals, announced Tracy Palmer Berns has joined the company as chief compliance officer.
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Novartis’ latest settlements: $729M in kickback charges
A week after resolving FCPA investigations for $347 million, Swiss pharmaceutical drug maker Novartis will pay another $729 million in separate settlements related to kickback schemes.
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Alexion Pharmaceuticals to pay $21M to resolve FCPA case
Alexion Pharmaceuticals will pay $21 million to resolve SEC charges that it violated the books and records and internal accounting controls provisions of the FCPA concerning bribes made by subsidiaries to foreign government officials.
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Managing emerging trade-based money laundering risks
Trade-based money laundering was already happening prior to the coronavirus pandemic, but now its nature has shifted. The ICA offers key considerations for managing emerging risks.
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Ask Amii mailbag: What to do when back-to-work guidance falls to you
Executive coach Amii-Barnard Bahn offers some tips for when your compliance title morphs into “Chief Public Health Officer,” plus ways to highlight the compliance function at your company and more.
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OCC report highlights elevated compliance risks in banking
The Office of the Comptroller of the Currency published a new report describing key issues facing the federal banking system and the effects of the coronavirus pandemic on the banking industry.
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EPA enforcement discretion policy to end next month
The Environmental Protection Agency has revised its temporary—and controversial—enforcement discretion policy regarding environmental legal obligations during the coronavirus pandemic, establishing an end date of Aug. 31.
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Supreme Court won’t hear challenge to CFTC authority
A lawsuit questioning the enforcement authority of the Commodity Futures Trading Commission has petered out after being denied the chance to be heard at the U.S. Supreme Court.
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FTC, DOJ issue modernized guidance on vertical mergers
The FTC and DOJ jointly issued long-awaited vertical merger guidelines that will replace decades-old parameters to more accurately represent the agencies’ merger review process.
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SEC, DOJ close FCPA probes into USANA
Usana Health Sciences disclosed in a regulatory filing that the DOJ and SEC have closed their respective FCPA investigations into the company and will not be filing any charges.
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Market forces, not regs, leading the charge for data privacy
Data privacy is about to become a more tangible concept to Americans not due to regulation like the CCPA, but because the most influential brand in the nation is making it a pillar of how it does business.
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Labor Dept. revives fiduciary rule with new proposal
The U.S. Department of Labor announced the proposal of a new exemption for investment advice fiduciaries designed to replace retirement-focused fiduciary rules made invalid two years ago.
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In time of crisis, Wirecard has turned to its would-be CCO to lead
Reeling from a $2 billion accounting scandal, Wirecard has turned to its would-be chief compliance officer as its interim CEO. It’s the first smart move the company has made in a while, writes Martin Woods.
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Supreme Court: CFPB single-director structure unconstitutional
The U.S. Supreme Court ruled the CFPB’s single-director structure violates the separation of powers between the executive and legislative branches and is unconstitutional.
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Ireland’s GDPR report shows it’s yet to hold Big Tech accountable
The Irish Data Protection Commission review of its GDPR investigations has come under fire for ignoring Big Tech and lacking information pertinent to inquiries into firms like Apple, Facebook, Google, and more.