Appointment Blogs | Compliance Week – Page 130
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States sue White House over environmental rollback
A coalition of state attorneys general are suing the U.S. Department of Energy over “its failure to comply with the law” and publish finalized energy efficiency standards for several products.
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SOX pros say external audit costs increased in 2016
Big companies subject to SOX reporting said their external audit costs increased in 2016 as auditors continue to report pressure from PCAOB inspections.
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The U.K. election: Another fine mess
Theresa May was supposed to thrash Labour’s Jeremy Corbyn in the recent election and strengthen her mandate for the Brexit negotiations. She failed on both counts, making Brexit more complicated than before.
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Department of Justice seeks new compliance counsel
Legal and compliance professionals interested in joining the Department of Justice’s Fraud Section for the compliance counsel job have until June 27 to apply. The Fraud Section is on the lookout for a new compliance counsel to replace Hui Chen, the first person to ever assume the role.
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The Hartford names chief risk officer
The Hartford, a financial services company, has named Robert Paiano chief risk officer to lead the company’s enterprise risk management operations, effective July 1.
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Some practical solutions to the problem of modern slavery
A series of case studies highlighted in a new report by the Interfaith Center on Corporate Responsibility provide some solutions to addressing the problem of modern slavery.
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British Airways learns a lesson on controls
The recent power failure at British Airways that stranded more than 75,000 holiday passengers is a reminder to companies of the importance of internal controls.
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Tip of the (compliance) hat to Hui Chen
A look at Hui Chen’s career at the Department of Justice, serving as the compliance counsel and, most importantly, putting the compliance function front and center in the fight against FCPA violations.
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Compliance and risk management as a competitive advantage
The Man From FCPA explores Amazon’s recent foray into banking that effectively demonstrates how the risk management aspect of compliance can be used as a competitive advantage.
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Grapevine: Who’s coming and going in compliance
Peruvian engineering and construction company Graña y Montero has appointed a new chief risk and compliance officer amid a bribery probe. Puma, Admiral Markets, and Triad Advisors also all have new compliance officers. Check out the CW Grapevine for the latest personnel moves.
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LPL names chief legal and risk officer
Retail investment advisory firm and independent broker-dealer LPL Financial, a wholly owned subsidiary of LPL Financial Holdings, has announced that Michelle Oroschakoff, current managing director and chief risk officer, will expand her responsibilities to include oversight of the firm’s legal and government relations functions as chief legal and risk officer, ...
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SEC charges brokerage firm with AML failures
The SEC has charged a Utah-based brokerage because it "routinely and systematically failed to file Suspicious Activity reports for stock transactions that it flagged as suspicious."
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SEC names co-directors for Enforcement Division
The SEC has announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named co-directors of the Enforcement Division.
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Triad Advisors appoints chief compliance officer
Triad Advisors, an independent broker-dealer, has appointed Bernie Breton as chief compliance officer.
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Admiral Markets names compliance officer
Admiral Markets UK has appointed Simon Roberts as the its new general manager, and Stephen Ayme has been added to the management board team and will be leading the compliance department.
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Puma appoints chief compliance officer
Sports company PUMA has appointed Raliza Koleva as chief compliance officer with immediate effect.
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CCO Checkup helps financial firms test AML program effectiveness
QuantaVerse recently announced the launch of CCO Checkup, a free service financial institutions can use to test the effectiveness of their AML programs, empowered by QuantaVerse’s AI solution that analyzes transaction data to detect “false negatives” or anomalous behaviors that may have been missed by an institution’s existing transaction ...
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FTI Technology launches Contract Intelligence Services practice
The Technology segment of global business advisory firm, FTI Consulting, recently announced the launch of its Contract Intelligence Services practice, which delivers solutions for legal teams seeking transparency across enterprise contracts to help make key decisions, leverage negotiations and meet regulatory requirements.
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Labor Department sets repeal of ‘persuader rule’ in motion
The Department of Labor is moving forward with efforts to rescind a rule that would have required disclosure of agreements between employers and labor-management consultants.
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Financial Choice Act passes in House
The Financial CHOICE Act, a more than 600-page bill to repeal and repace much of the Dodd-Frank Act, has passed in the House of Representatives with a party-line vote of 233 to 186. It now moves into the far greater challenge of passage in the Senate.