Articles | Compliance Week – Page 30
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Brinks fined $400K over restrictive whistleblower language in contracts
The Brink’s Company, a provider of security-related services, has agreed to pay $400,000 and add wording in U.S. confidentiality agreements to comply with an SEC rule regarding corporate whistleblowers.
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Former Rite Aid compliance exec fined $305K over insider trading case
A former Rite Aid compliance executive agreed to pay a civil penalty of $305,129 to resolve SEC insider trading charges regarding sale of company stock.
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Law Commission proposals put heat on U.K. execs
The United Kingdom might make it easier for executives and senior managers to be held directly accountable for corporate crimes under reform proposals put forward by the body that reviews U.K. law.
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Rabobank recruits ex-Danske Bank CCO as financial crime officer
Philippe Vollot, who resigned from Danske Bank earlier this month after formerly serving as its chief compliance officer, will join Rabobank as its first chief financial economic crime officer, effective Oct. 1.
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Accuray names chief accounting officer
Accuray, a healthcare company offering radiation therapy, announced the appointment of Franco Palomba as vice president, chief accounting officer and controller.
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PartnerRe appoints chief risk officer
PartnerRe announced the appointment of Sima Ruparelia as chief actuarial and risk officer, effective June 27.
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‘Have contingency plans’: TPRM expert on confronting Russia risk exposure
Melanie Gallagher, head of third-party risk management at financial software company Intuit, offered best practices for navigating sanctions compliance risks at CW’s TPRM Summit in Chicago.
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Five prevailing themes from TPRM Summit
Editor In Chief Kyle Brasseur recaps popular points of discussion across Compliance Week’s two-day Third-Party Risk Management Summit held in Chicago.
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DAG Monaco: Sanctions should be ‘at the forefront’ of compliance approach
Businesses with a multinational footprint or international suppliers should be prioritizing abiding by U.S. sanctions in their compliance efforts, Deputy Attorney General Lisa Monaco said at an industry event.
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Senate confirms Jaime Lizárraga, Mark Uyeda as SEC commissioners
Democrat Jaime Lizárraga and Republican Mark Uyeda have been confirmed by the Senate to serve as commissioners on the Securities and Exchange Commission.
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Compliance deficiencies faulted in Western International Securities Reg BI case
Western International Securities and five of its brokers have been charged by the Securities and Exchange Commission with violating Regulation Best Interest when they sold high-risk debt securities to investors who weren’t aware of the risks.
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USAA whistleblowers want to be heard—and now
Jaclyn Jaeger reflects on feedback received from former and current USAA employees following her three-part series detailing alleged violations of law and mismanaged compliance culture at the financial services giant.
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FASB removes goodwill accounting project from agenda
The Financial Accounting Standards Board tentatively ruled to remove a project regarding identifiable intangible assets and subsequent accounting for goodwill from its technical agenda.
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Assessing the scope of FASB’s environmental credits project
The Financial Accounting Standards Board added a project to its technical agenda on environmental credits that will include recognition, measurement, accounting presentation, and disclosure.
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Strain in your supply chain no excuse for compliance shortcuts
With the Russia-Ukraine war’s ever-expanding sanctions landscape, supply chain strain and risk of enforcement are sharply increasing. Speakers at a recent event hosted by Drexel University’s Kline School of Law offered best practices.
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ICA announces MENA financial crime compliance conference
The International Compliance Association, a leading professional body for the compliance community, announced its first MENA 2022 Regulatory and Financial Crime Compliance Conference on at the Fairmont Hotel, Dubai.
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Volta adds chief accounting officer
Volta, an electric vehicle charging network, announced the appointment of Stephen Pilatzke as chief accounting officer.
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Cooper Standard appoints chief accounting officer
Cooper Standard, a global supplier of systems and components for the automotive industry, announced the appointment of Amy Kulikowski as vice president, chief accounting officer, effective July 11.
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Weiss Asset Management lauded for cooperation in $6.9M settlement
Weiss Asset Management reached a $6.9 million settlement with the Securities and Exchange Commission after it self-reported alleged short selling violations.
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Survey: Cyber threats, remote work, financial pressures key ABC concerns for 2022
Compliance programs globally expect to shoulder more responsibilities in 2022, according to Kroll’s latest Anti-Bribery and Corruption Benchmarking Report.