Articles | Compliance Week – Page 80
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ArticleDisney general counsel to step down at end of year
Alan Braverman, Disney’s top legal officer since 2003, is planning to step down at the end of the year when his contract runs out.
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ArticleSEC examinations head Peter Driscoll to depart
The Securities and Exchange Commission announced Peter Driscoll, the director of the Division of Examinations (formerly OCIE), will leave the agency in August.
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ArticleNew bank guidance expands on advice for handling third parties
Three federal banking regulators are seeking public input on the first comprehensive update to risk management guidance for financial institutions entering into business relationships with third parties since 2013.
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ArticleCherry Bekaert audit partner facing SEC scrutiny over MiMedx fraud case
The Securities and Exchange Commission is considering whether to pursue enforcement against a certified public accountant for his alleged role in an accounting fraud case the agency brought against biotech company MiMedx Group.
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Western Dental names chief compliance officer
Dental and orthodontics firm Western Dental has named Eric Royal chief compliance officer.
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Arctaris adds chief compliance officer, general counsel
Boston-based investment firm Arctaris Impact Investors announced the appointment of Alan Halfenger as general counsel and chief compliance officer.
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ArticleSPAC due diligence called out in $8M SEC enforcement
The SEC issued a $7 million fine against startup space company Momentus for misleading investors about the viability of its technology and an additional $1 million fine against the SPAC taking it public for not conducting adequate due diligence.
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Article10 years of U.K. Bribery Act: Compliance enough to define law’s success?
The U.K. Bribery Act marked its 10th anniversary this month, but views are mixed about how the legislation and its enforcement have fared in the decade since it came into force.
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ArticleTIAA subsidiary to pay $97M over wealth advisory sales practices
A subsidiary of the Teachers Insurance and Annuity Association of America has agreed to pay $97 million to settle charges of inaccurate and misleading statements and failing to adequately disclose conflicts of interest regarding employer-sponsored retirement plans.
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ArticleICA: Takeaways from risk assessment roundtable
A recent roundtable on best practices for risk management saw delegates share their experiences in conducting assessments that are accurate, effective, and efficient.
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ArticleCredit Suisse creates new risk role to prevent next Archegos
Credit Suisse has named Amélie Perrier to a new senior executive position to track the trading positions of its largest customers after the bank lost $4.7 billion in the aftermath of the collapse of Archegos Capital Management.
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Avanos Medical appoints general counsel
Medical technology company Avanos Medical has appointed Moji James as senior vice president and general counsel.
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Ford names general counsel
U.S. automotive giant Ford announced the appointment of Steven Croley as general counsel and chief policy officer.
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ArticleFive steps to elevate your average compliance program
Why settle for an average compliance program when you can have so much more? It isn’t easy, but commitment to a handful of key requirements can push your program to the next level.
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Neiman Marcus hires chief legal and compliance officer
Luxury retailer Neiman Marcus Group announced the appointment of Hannah Kim as chief legal officer, corporate secretary, and chief compliance officer.
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ArticleNew-look FTC to test compliance with aggressive approach?
The Federal Trade Commission under new Chair Lina Khan is wasting no time in restoring its power to reshape rulemaking and enforcement, but doing so without proper time for public input is an early cause for concern.
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ArticleNew bill saves CFTC whistleblower program, but for how long?
A measure to save the whistleblower program at the CFTC was signed into law by President Joe Biden, providing enough funding to keep the program running through October 2022. What lies beyond the bill’s support?
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Rio Tinto names chief legal officer
Mining and metals company Rio Tinto has appointed Isabelle Deschamps as chief legal officer & external affairs.
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ArticleBinance enhancing compliance after recent U.K. ban
The CEO of cryptocurrency platform Binance touted the company’s growing commitment to compliance after one of its units was banned from operating in the United Kingdom.
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ArticleItalian DPA cites biased tech in $3.1M GDPR fine
Italy’s data protection authority fined food delivery company Foodinho €2.6 million (U.S. $3.1 million) because the app at the core of its business model allegedly discriminated against employees.