Articles | Compliance Week – Page 68
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Visa promotes general counsel to EVP
Payment services giant Visa announced the promotion of General Counsel Julie Rottenberg to executive vice president. She will assume oversight of Visa’s global legal and compliance function as part of the change.
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Citi appoints new general counsel
Citi announced the appointment of former Treasury Department official Brent McIntosh as general counsel and corporate secretary, effective Oct. 25.
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Robinhood touts crypto wallet offering, hires new CCO
Fintech firm Robinhood has hired a new chief compliance officer at its cryptocurrency arm ahead of the first round of testing for its cryptocurrency wallet offering.
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Pall Corp. adds global compliance head
Pall Corp., a supplier of filtration, separations, and purification products, has hired Tiffany Archer as global head of compliance, risk and privacy.
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Stanford chief risk officer reflects on role upon retirement
Rick Moyer will step down as senior associate vice president and chief risk officer for audit, compliance, risk and privacy at Stanford University at the end of the month.
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Schlumberger subsidiary to pay $1.4M for Russian sanctions violations
A Houston-based subsidiary of oilfield services company Schlumberger has been fined approximately $1.4 million by the Office of Foreign Assets Control for selling goods to a Russian-based energy firm that was under U.S. sanctions.
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Wells Fargo to pay $72.6M for foreign currency exchange fraud
Wells Fargo Bank agreed to pay a total of approximately $72.6 million to resolve allegations it fraudulently overcharged hundreds of commercial customers who used the bank’s foreign exchange services.
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NOV announces chief accounting officer succession
Energy technology company NOV announced Christy Novak will succeed Scott Duff as vice president, corporate controller and chief accounting officer, effective Nov. 1.
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Twist Bioscience appoints chief ethics and compliance officer
Synthetic biology and genomics company Twist Bioscience Corporation has appointed Dennis Cho as senior vice president, general counsel, and chief ethics and compliance officer.
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Panorama Mortgage Group adds chief compliance officer
Panorama Mortgage Group announced the hiring of Ryan Kerian as chief compliance officer and general counsel.
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ServiceMax names chief accounting officer
Field service management software provider ServiceMax has named Pavel Kovar as chief accounting officer.
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New SEC marketing rule offers opportunities, compliance challenges
The SEC’s new marketing rule allows certain types of advertising, endorsements, and testimonials that were previously prohibited. Investment advisers are “excited” about the new possibilities—but compliance officers must warn them of the risks.
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Fulton Financial hires chief accounting officer
Fulton Financial Corp. hired industry veteran Anthony Cossetti as executive vice president, chief accounting officer and controller.
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Fifth Third appoints first climate risk officer
Fifth Third Bank NA announced the appointment of Michele Mullins as the company’s first climate risk officer.
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Departing CFTC commissioner to join SEC as general counsel
Dan Berkovitz has signed on to become general counsel at the SEC less than three weeks since announcing his intention to step down as a commissioner at the CFTC.
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Introducing: Cybersecurity training customized for compliance
The professor who created CW’s first-ever self-directed learning module explains what compliance practitioners can expect to get out of the course—and why it’s an essential tool in an evolving cyber-risk landscape.
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CFTC fines Citi $1M for swap data reporting failures
Citibank will pay a $1 million penalty to resolve allegations of not properly reporting swap data to the Commodity Futures Trading Commission and for violating the provisions of a 2017 order regarding those practices.
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Grant Thornton UK fined $3.2M for Patisserie Valerie audit lapses
Grant Thornton UK has been fined £2.34 million (U.S. $3.2 million) by the Financial Reporting Council for failures in its audits of collapsed café chain Patisserie Valerie between 2015 and 2017.
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Petrofac readies bribery guilty plea, touts compliance enhancements
Petrofac will plead guilty to seven counts of failing to prevent bribery, the potential endpoint in a long-running investigation into allegations company executives paid to win lucrative contracts in Iraq, Saudi Arabia, and the UAE.
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KPIs and collaboration: How Vivint, Agilent handle data collection
Compliance leaders from Vivint and Agilent Technologies shared how they are successfully integrating data intelligence into their organization’s operations at a recent Diligent virtual summit.