Articles | Compliance Week – Page 165
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Heartbreaker: SEC Commissioner Jackson to resign Feb. 14
Robert Jackson Jr., one of five commissioners at the Securities and Exchange Commission, confirmed Thursday his intention to resign from his post next month.
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Samantha Power to deliver keynote at Compliance Week 2020
Compliance Week is thrilled to announce the addition of Samantha Power as a keynote speaker at its 2020 National Conference in Washington D.C.
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App firms, adtech industry in firing line over possible GDPR violations
The Norwegian Consumer Council, a consumer rights champion, has uncovered a serious no-no in the world of GDPR: popular apps sharing user data, such as religious beliefs and sexual preferences, to advertising and marketing firms in order to drive their own revenue.
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ICA announces regulatory and financial crime conference in Dubai
The International Compliance Association will host its inaugural MENA Regulatory and Financial Crime Compliance Conference in Dubai on March 1-2. His Excellency Ebrahim Obaid Al Zaabi, director general, Insurance Authority, will deliver the keynote address.
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Poll: U.S. companies want to respond to proxy advisor voting recommendations
According to a Willis Towers Watson survey, the majority of U.S. publicly traded companies would not remain silent if given the opportunity by the SEC to respond to proxy advisor voting recommendations.
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SEC bars former KPMG leader atop ‘chain of corruption’
The Securities and Exchange Commission has suspended a former KPMG leader from appearing or practicing before the SEC after he was convicted of a felony last year.
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‘Science of Workplace Investigations’ preview: Tips on getting at the truth
Compliance Week sat down with Clear Law Institute CEO Michael Johnson to discuss what attendees of his “Science of Workplace Investigations” online workshop can expect to learn, including how to best spot a lie.
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Treasury finalizes rules impacting foreign investments in U.S.
The Treasury Department is disseminating two rules implementing the Foreign Investment Risk Review Modernization Act of 2018 to help balance national security with the importance of foreign investments in the U.S. economy.
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BlackRock: Climate change ‘defining factor’ in companies’ futures
Fund manager BlackRock announced several new initiatives with a focus on sustainable investing, including holding companies and boards more accountable where they are not making enough progress on sustainability-related disclosure.
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Cyber-threats, regulatory change highlight top-10 risks study
Cyber-incidents, business interruption, and changes in legislation and regulation are the three biggest risks to companies globally, according to research by German insurer Allianz.
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Germany hits pesticides wholesalers with large fines
Seven pesticide wholesalers have been fined a total of €155 million (U.S. $173 million) for operating a 17-year price-fixing cartel.
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Tip sheet: 2020 priorities for accounting and audit regulators
With the new year under way, we highlight some focus areas of accounting and audit regulators—SEC, PCAOB, and FASB—that should be top of mind for boards of directors.
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Comments sought on draft vertical merger guidelines
The Federal Trade Commission and the Department of Justice’s Antitrust Division have jointly issued long-awaited draft guidelines concerning vertical mergers and are now seeking public comment.
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My Compliance Library: ‘Crisis of Conscience’ explores whistleblower culture
The latest installment of My Compliance Library examines “Crisis of Conscience,” a wide-ranging look at whistleblowers and the toxic cultures that lead to their critical role in enacting change.
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OFAC designates new sanctions against Iran’s metals industry
Sanctions compliance officers should be on alert following several new sanctions designated by the Office of Foreign Assets Control against Iran’s largest steel, aluminum, copper, and iron manufacturers.
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NFL’s Redskins part with general counsel
The Washington Redskins of the National Football League announced they mutually parted ways with longtime general counsel and senior vice president of football operations Eric Schaffer.
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B. Riley Wealth Management tabs general counsel, CCO
B. Riley Wealth Management, a subsidiary of B. Riley Financial, announced the appointment of Michael Markunas as general counsel and chief compliance officer.
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Arvest Bank appoints chief compliance officer
Arvest Bank announced the promotion of Renee Huffaker to chief compliance officer. She assumes the role from Cara James, who was previously promoted to chief risk officer.
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Dodd, Frank challenge SEC’s Regulation Best Interest
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
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British retailer Dixons fined for pre-GDPR breach
The ICO has fined Dixons Carphone for failing to take “basic, commonplace” security measures that would have alerted it to one of the country’s worst cyber-attacks.