All Ethics & Culture articles – Page 21
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ArticleCCO Q&A: How Prime Trust is managing compliance in evolving crypto space
Compliance Week discusses with Nirvana Patel, chief compliance officer and BSA officer at Prime Trust, the unique challenges of practicing compliance in the cryptocurrency industry and his thoughts on the regulatory landscape moving forward.
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ArticleSFO integrity questioned after Unaoil conviction overturned
The Serious Fraud Office will be investigated by the U.K. Attorney General’s Office after a court said the agency denied a convicted former oil and gas executive the right to a fair trial.
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ArticleTen things I’d like to see happen in 2022 (2021 in review)
ESG and cryptocurrency figure to be key topics in 2022, but we’re also keeping an eye on President Biden’s anti-corruption efforts, details on Amazon’s record GDPR fine, the status of Facebook’s first CCO, and more.
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ArticleVolkswagen integrity head Hiltrud Werner to depart in board reshuffle
Hiltrud Werner, board member responsible for integrity and legal affairs at Volkswagen and a key figure in the Dieselgate monitorship, will leave the German automaker on Feb. 1, 2022, as part of a series of managerial changes.
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ArticleFive compliance triumphs from 2021
A key CCO appointment, a company committed to transparency, and a bank that spent big on improving its AML controls highlight CW’s annual list of laudable ethics and compliance moments.
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PremiumTop ethics and compliance failures of 2021
Systemic risk management lapses at a financial services firm, allegations of toxic culture at a video game giant, and more of the same baffling behavior from one of the world’s largest tech companies comprise CW’s list of the biggest ethics and compliance fails of 2021.
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Article
Ex-Immunomedics CFO charged with insider trading
The SEC charged former Immunomedics Chief Financial Officer Usama Malik and his former romantic partner with insider trading. The Department of Justice also announced criminal charges for securities fraud.
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ArticleMy Compliance Library: ‘The Long Game’ offers timely look at long-term career planning
Dorie Clark’s best-selling book “The Long Game” challenges us to ponder what it would look like to “discover our own definition of success” at a time when more professionals than ever are quitting their jobs in search of positive change.
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ArticleEx-LeClairRyan chief legal officer sentenced to 44 months imprisonment
A former chief legal officer of now-defunct law firm LeClairRyan was sentenced to 44 months in prison and ordered to pay a $10,000 fine after pleading guilty to obstructing an embezzlement investigation into his own fraudulent conduct as a bankruptcy trustee.
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ArticleActivision Blizzard case study: When CCOs become the CEO’s mouthpiece
Many chief compliance officers report directly to the board or chief executive officer. But what happens to the CCO when the CEO is the problem? Take Activision Blizzard as an example of what not to do.
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Ex-Cozen O’Connor attorney to pay $20K to settle insider trading charges
William Gericke, a former attorney with law firm Cozen O’Connor, has agreed to pay $20,004 and be permanently barred from appearing before the SEC to settle charges he traded on inside information on a corporate client.
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PremiumCompliance must carve out role in company ESG efforts
Respondents to our “Inside the Mind of the CCO” survey agree compliance should play a key part as businesses determine their ESG strategy—either through primary oversight or meaningful participation.
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PremiumDEI & compliance: Signs of advancement and complications
A global outcry for racial justice reached a crescendo in 2020, and corporate America pledged to “meet the moment” with transformative change. According to our “Inside the Mind of the CCO” survey, there are macro signs of companies trying to move the needle, but gaps in DEI progress remain.
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ArticleCWE panel: EU Whistleblowing Directive a test for company procedures
Multiple weak points identified with the upcoming EU Whistleblowing Directive could put the burden on companies to determine how to best implement the law, experts discussed during CW’s virtual Europe event.
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PremiumStop normalizing the gender pay gap
Our “Inside the Mind of the CCO” survey revealed women in compliance were paid far less than men. In a profession where practitioners are hailed as paragons of ethical integrity, why is this OK?
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PremiumCompliance: The happiest profession on Earth?
While the “Great Resignation” takes its toll on many industries, compliance officers responding to CW’s “Inside the Mind of the CCO” survey still near-unanimously say they are happy with their jobs. Amii Barnard-Bahn speaks with practitioners for their insights into the disparity.
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ArticleWhat it takes to work in sanctions compliance
Sanctions compliance veteran Visar Jaha explores for the ICA what it takes to be a successful in ensuring compliance with sanctions regimes within a firm.
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ArticleLawsuit: Ex-JPMorgan VP links firing to concerns raised about compliance program
A former compliance executive with JPMorgan Chase alleges she was fired after pointing out flaws in the bank’s compliance program and misrepresentations the bank made to regulators regarding a 2016 settlement of bribery allegations in the Asia Pacific region.
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ArticleWhen racist words, stereotypes are not in the eye of the beholder
A recent case involving discrimination allegations raised by a former compliance executive at Commerzbank serves as a reminder that sometimes people use words that hurt others’ feelings, but it doesn’t always mean the intention is there.
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ArticleCompliance Week National Conference is going back in person in May
Mark your calendars: Compliance Week’s National Conference in Washington, D.C. will be held in person for the first time in nearly three years from May 16-18, 2022.