Appointment Blogs | Compliance Week – Page 103
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Currencycloud names chief compliance officer
Currencycloud, an international payments platform based in London, has appointed Tanya Ziv as its new chief compliance officer and money laundering reporting officer.
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CFTC releases annual enforcement results for FY 2017
The Commodity Futures Trading Commission brought 49 enforcement-related actions in the fiscal year that ended Sept. 30, 2017, including significant actions to root out manipulation and spoofing and to protect retail investors from fraud, according to the agency’s enforcement results for FY 2017.
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European Medicines Agency publishes Brexit guidance for pharma companies
The European Medicines Agency has published additional guidance for pharmaceutical companies to help them prepare for the United Kingdom’s withdrawal from the European Union.
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OECD: Brexit to weaken U.K. economic growth
The Organisation for Economic Co-operation and Development projected that Britain’s exit from the European Union will result in a sharp slowdown in economic growth in the United Kingdom.
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Turmoil reigns at CFPB after Cordray resigns
As both the CFPB itself and the White House clash over who runs the agency in the wake of Director Richard Cordray’s resignation, compliance officers should brace for one of the Trump administration’s uglier legal battles.
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U.K. Serious Fraud Office prosecutor joins Gibson Dunn in London
Sacha Harber-Kelly, a prosecutor with the U.K. Serious Fraud Office in the Anti-Corruption and Bribery Division, will join the international law firm Gibson, Dunn & Crutcher as a partner in its London office.
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Companies make progress, face more work on revenue
Third-quarter filings suggest companies are making progress implementing new revenue rules, but still have plenty of work to do in the fourth quarter.
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Donnelley Financial Solutions raises bar for financial disclosure management
Donnelley Financial Solutions announced the release of ActiveDisclosure 3, the newest generation of its cloud-based financial disclosure management solution, ActiveDisclosure. By integrating with Microsoft Office Online, ActiveDisclosure 3 allows multiple users to simultaneously create and edit their Word, Excel, and PowerPoint documents from most devices.
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Netwrix Auditor 9.5 enables firms to improve detection of threat actors
Netwrix Corporation, a provider of a visibility platform for user behavior analysis and risk mitigation in hybrid environments, announced the release of Netwrix Auditor 9.5, providing customers with security intelligence to proactively reduce risk and spot threat actors.
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Pharmacy compliance director pleads guilty over mislabeled drugs
The former director of compliance for a compounding pharmacy company pleaded guilty last week to introducing adulterated drugs into interstate commerce and conspiracy to defraud the United States by obstructing the Food and Drug Administration’s lawful functions.
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FINRA fines J.P. Morgan $1.25M for failing to screen thousands of employees
The Financial Industry Regulatory Authority fined J.P. Morgan Securities $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600—or 95 percent—of its non-registered employees, in violation of federal securities laws.
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For Uber: what else? Not: where else?
Another Uber reveal, this time the fact that the company make a $100K payment to hackers who broke and stole confidential data of some 57 million Uber customers and drivers, leaves many wondering what else the transportation company has kept in the dark.
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The compliance oversight committee
Installing a compliance oversight review committee is a crucial step that should be employed by companies as added protection against any type of compliance and ethics violations that could slip through the cracks and become much bigger problems down the road.
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The regional compliance committee
The regional compliance officer adds a dimension not often seen or even discussed in the compliance profession, offering oversight of the compliance monitoring, reviewing, assessing, and recommending that is deemed necessary to the compliance function.
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Doing business with Citgo? Get ready for a bumpy ride
The arrest of Citgo Petroleum Company’s acting president of the company and five members of the company’s board for offering bonds to finance the company’s continued operations means that if you’re doing business with Citgo, it’s definitely time to review your relationships, contracts, payment status, and all other facets of ...
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What does ‘Made in Japan’ stand for now?
Mitsubishi Materials knew for months one of its subsidiaries was shipping low-quality products, giving the phrase ‘Made in Japan’ a whole new meaning.
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Happy Birthday to the FCPA Guidance
The joint Department of Justice and Securities and Exchange Commission 2012 FCPA Guidance came out five years ago this month. All compliance practitioners should thank the government regulators and prosecutors who had a part in drafting this most remarkable of documents.
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Paradise for money launderers
A look at what the Paradise Papers uncovered, the European Union’s reaction, and what progress needs to be made on implementing proper disclosure and transparency to thwart future money laundering enterprises.
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GIACT names chief compliance officer
GIACT Systems, a provider of payment fraud reduction, has appointed Meg Nicholls as chief compliance officer. Nicholls will be responsible for overseeing all compliance-related functions, including corporate audit, risk evaluation, and underwriting activities company-wide.
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European Banking Authority to move to Paris
The European Banking Association will move to Paris, France, in light of the U.K.'s intention to withdraw from the European Union.