Articles | Compliance Week – Page 209
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European Commission fines five banks €1B over foreign exchange cartel
In two separate settlements, the European Commission fined five banking giants for colluding in the trade of significant sums of foreign currency.
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SEC approves ‘long-term’ stock exchange
The SEC has approved a new national securities exchange committed to long-term investing.
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The compliance side of Argentina’s ‘notebook’ scandal
Given the heightened risks associated with Argentina’s “notebook” scandal, compliance officers might want to enhance their due diligence efforts in the country.
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OCIE’s Driscoll on importance of CCOs
Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.
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California groups sue CFPB for shirking Dodd-Frank data collections
Two advocacy groups are suing the Trump administration and CFPB for failing to disclose data on lending to women-owned, minority-owned, and small businesses.
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Advance Auto Parts names chief accounting officer
Advance Auto Parts has appointed Andrew Page as controller and chief accounting officer.
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Booking Holdings appoints chief accounting officer and controller
Booking Holdings, a provider of online travel services, has appointed Sue D’Emic as chief accounting officer and controller.
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LogistiCare appoints chief compliance officer
The Providence Service Corporation and LogistiCare, a non-emergency medical transportation broker, has appointed Julie Correll as chief compliance officer.
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HarbourVest Partners appoints chief compliance officer
HarbourVest Partners, a global private markets asset manager, has appointed William Royer as a managing director. He also will become chief compliance officer in early June.
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Baker Hughes names new chief compliance officer
Oil field services company Baker Hughes has appointed Kara Gordon as chief compliance officer and deputy general counsel.
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How to determine when enhanced due diligence is warranted
It can cost time and money and could even drown a deal. So when do the challenges and costs associated with this step outweigh the risks of not doing it?
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Poll shows room for improvement on training third parties
Results from the Compliance Week and Refinitiv survey revealed some surprising facts about companies’ third-party training; based on those results, the following article offers suggestions for how to enhance the process.
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Identifying high-risk third parties a nuanced exercise
Determining which business partners to flag for enhanced due diligence all depends on the quality, and sources, of your data.
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Dark Web grows as an investigative tool
A telling detail uncovered in the 2019 Survey on Anti-Bribery & Corruption was that about 6 percent of respondents said they extend their data searches into the “Dark Web.”
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Anti-bribery and anti-corruption survey
The 2019 Survey on Anti-Bribery & Corruption explores everything from the monitoring of third parties to the evaluation of training programs.
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U.K. plans Brexit vote in June
A look at possible consequences of the MP vote on Prime Minister Theresa May’s Brexit deal scheduled for early June.
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Former Autonomy CFO sentenced to 60 months in prison
Sushovan Hussain, the former chief financial officer of U.K. software firm Autonomy, has been sentenced to 60 months in prison for his role in falsifying the company’s revenues prior to its acquisition by Hewlett-Packard.
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DOJ's Claire McCusker Murray to deliver keynote at CW2019
Newly appointed Department of Justice Principal Deputy Associate Attorney General Claire McCusker Murray will deliver a keynote at the upcoming CW annual conference at the Mayflower Hotel in Washington D.C.
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Barrick Gold chief compliance officer joins Paul Hastings
Former Barrick Gold CCO Jonathan Drimmer has joined the global law firm Paul Hastings as a partner in the investigations and white-collar defense practice.
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Informatica to pay $21.57M in False Claims Act case
The Department of Justice says Informatica will pay over $21 million stemming from a False Claims Act investigation.