Articles | Compliance Week – Page 166
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Barnes Group appoints general counsel successor
Barnes Group announced the appointment of James Pelletier as senior vice president, general counsel and secretary, effective April 1. Pelletier will succeed Peter Gutermann, who will retire at the end of March.
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Carrols Restaurant Group names general counsel
Carrols Restaurant Group, the largest Burger King franchisee in the United States, announced it has appointed Markus Hartmann as vice president and general counsel.
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PayScale hires general counsel
Cloud-based compensation software provider PayScale announced Kristin Boraas will serve as its new general counsel.
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Merrill Corp. adds general counsel
Global SaaS provider Merrill Corp. announced the appointment of Patricia Elias as vice president, general counsel and secretary.
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Westlake Chemical promotes accounting chief
Westlake Chemical has appointed Johnathan Zoeller to serve as vice president and chief accounting officer. Zoeller’s appointment will become effective upon the retirement of his predecessor, George Mangieri, at the end of March.
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Aspen appoints group chief risk officer
Aspen Insurance Holdings announced Crystal Ottaviano has been appointed group chief risk officer, effective March 2.
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Xcel Energy names new compliance, risk chief amid shuffle
Electric services firm Xcel Energy named Karen Hyde senior vice president, chief risk, audit and compliance officer amid a series of recent changes in leadership.
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Trevena tabs chief legal and compliance officer
Biopharmaceutical company Trevena announced the appointment of Scott Applebaum as chief legal and compliance officer and senior vice president of regulatory affairs.
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ArticleControversial facial image aggregator Clearview AI reveals breach
A company with a huge database of facial images informed its law enforcement customers this week that it suffered a data breach.
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SEC settles with RSM over improper conduct
The Securities and Exchange Commission has settled charges with RSM for “improper professional conduct” after the firm assigned unqualified staff to audit a series of private investment funds.
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ArticleJudge acquits Alstom exec on FCPA charges
In a setback for the DOJ, a federal judge has acquitted, in part, a former executive of French power and transportation company Alstom for his role in a foreign bribery scheme in Indonesia.
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ArticleFRC sends letter to Big Four outlining ‘operational separation’
The U.K. Financial Reporting Council penned a letter to the Big Four outlining expectations for how the auditors should go about separating their audit work from their consultancy business.
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ArticleCoronavirus safeguards mean corporate ghost towns in China
China’s economy may be stuck in neutral for months by mandated quarantines and business shutdowns as well as resistance from local authorities to issue work resumption permits.
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ArticleUnder Siege: Actor Steven Seagal dinged by SEC for touting ICO
Steven Seagal agreed to a settlement with the Securities and Exchange Commission for failing to disclose payments he received for promoting an initial coin offering in 2018 conducted by Bitcoiin2Gen.
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ArticleBig Four score: EY, KPMG, PwC, Deloitte among Fortune’s 100 best companies list
Fortune’s 2020 list of the 100 Best Companies to Work For is out, and accounting firms are again among them. All four of the Big Four firms are in the top 50, as is Plante Moran.
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ArticleSITA settles nearly 10K alleged OFAC sanctions violations for $7.8M
Société Internationale de Télécommunications has agreed to pay approximately $7.8 million to settle 9,256 apparent sanctions violations with the Treasury Department’s Office of Foreign Assets Control.
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ArticleSEC subpoenas Mattel in accounting probe
Mattel announced it has received a subpoena from the Securities and Exchange Commission seeking documents related to a previously disclosed investigation that had uncovered accounting errors.
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Tyson Foods chief accounting officer steps down
Tyson Foods announced in a regulatory filing that Stephen Gibbs notified the company of his intention to step down as chief accounting officer to pursue another opportunity.
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ArticleCCO Q&A: Managing compliance in the FinTech space
Compliance Week discusses with Shannon Duncan, CCO and director of operations at registered investment adviser Blooom, the many unique challenges of doing compliance in the complex, ever-evolving FinTech space.
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Versant Health appoints chief compliance officer
Versant Health, a national managed eye health and vision plan company, has appointed Lula Richards as its new chief compliance officer.