Articles | Compliance Week – Page 167
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Geopulse Exploration tabs compliance officer
Geopulse Explorations, a blockchain-powered logistics, financial services, and promotion platform for the cannabis sector, announced the appointment of Harrison Kordestani as compliance officer.
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Ventas names general counsel, CECO
Real estate investment trust Ventas announced Carey Shea Roberts will join the company as executive vice president, general counsel and ethics and compliance officer, during the first quarter of 2020.
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DXC Technology appoints chief risk officer
DXC Technology announced Carla Christofferson has been appointed chief risk officer to lead the company’s risk and security efforts.
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Axis Bank adds new risk chief
Axis Bank’ board of directors approved the appointment of Amit Talgeri as chief risk officer for a period of three years.
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Mirati Therapeutics names accounting chief amid shakeup
Mirati Therapeutics, a clinical stage targeted oncology company, announced changes to its executive management team, including the promotion of Vickie Reed to senior vice president, finance and chief accounting officer.
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Eaton appoints general counsel
Power management company Eaton announced April Miller Boise has been appointed executive vice president and general counsel.
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Australis Capital promotes chief accounting officer
Cannabis operations firm Australis Capital announced Alex Han, formerly vice president of accounting, has been promoted to chief accounting officer.
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UK Finance slams overregulation in financial services sector
UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.
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Landec discloses FCPA probe
Landec, an innovator of health and wellness solutions, has discovered and reported to U.S. regulators a “compliance issue” at its Yucatan Foods production facility in Guanajuato, Mexico. It now faces a government probe into possible FCPA violations
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U.S. government warns: Be prepared for Iran cyber war
The killing of Iranian general Qassem Soleimani in a U.S. airstrike may bring about cyber warfare, the U.S. government has warned in a security bulletin.
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Uber: Fraud Section ends bribery probe
The Department of Justice has closed its investigation into possible violations of the Foreign Corrupt Practices Act by ride-sharing company Uber.
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Casino operators in Japan must gamble on compliance risks
Japan’s plans to launch a casino industry have been marred recently by a widening bribery scandal that highlights the compliance risks associated with the operation.
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Argo Group agrees with Voce to overhaul board
Argo Group, a Bermuda-based insurance company, announced it has reached an agreement with activist fund Voce Capital Management to make changes to the composition of Argo’s board of directors.
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Special report: Compliance 2020
CW Editor in Chief Dave Lefort offers 10 predictions on what will dominate compliance headlines in 2020.
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Swiss firm, owner face charges in stock manipulation scheme
The SEC and DOJ have separately announced charges against a Swiss asset management firm and several individuals for engaging in a long-running stock manipulation scheme involving numerous U.S. issuers. The charges resulted from a failed attempt to circumvent disclosure requirements imposed by securities laws.
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UBP to pay additional $14M for hidden accounts
Union Bancaire Privée (UBP), a Swiss private bank, must pay an additional $14 million to the U.S. government for accounts it failed to disclose in an addendum to a non-prosecution agreement reached with the Department of Justice four years ago.
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Exxon wins legal battle with OFAC over sanctions violation
A federal judge ruled this week Exxon will not have to pay a $2 million civil penalty levied by OFAC in 2017 for violating Ukraine-related sanctions regulations.
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Wawa data breach part of ‘concerning’ industry trend?
While Wawa continues to investigate the source of a widespread data breach that put thousands of customers at risk, its connection to a recent Visa alert suggests other retailers should be on the lookout for similar threats to their cyber-security infrastructure.
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PCAOB: Best practices in improving audit quality
The PCAOB has published a document that offers insights from audit committee chairs on what procedures have worked best for them in improving audit quality.
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Ex-Nissan chair Carlos Ghosn secretly flees Japan
Carlos Ghosn, the former chairman of Japanese automaker Nissan, late last week secretly fled Japan, where he was awaiting trial over allegations of financial misconduct.