All articles by Jaclyn Jaeger – Page 76
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Blog
State Street to pay $35M for disclosure failures
State Street today agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. Treasury securities.
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Article
Corporate philanthropy at its finest
In the wake of Hurricane Harvey, many of the companies we might normally cover concerning compliance and risk issues made headlines for far better reasons: their generosity.
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Article
Distilling lessons from the uptick in FCPA declinations
As the number of FCPA declinations is up, all indicators point to a general desire on the part of the DoJ and SEC to clear out old cases and re-evaluate which ones to pursue.
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Blog
MTS Systems: FCPA probes close with no action
MTS Systems, a global supplier of test systems and sensing solutions, said in a quarterly filing this month that it will not be facing an enforcement action regarding a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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Blog
Formula One Group faces fraud probe by SFO
The Formula One Group has confirmed that the U.K. Serious Fraud Office is in its “pre-investigation” stage concerning fraud allegations made against it by a U.K. member of Parliament.
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Article
Compliance remedies for new sanction headaches
Compliance officers will want to reevaluate their trade sanction compliance policies, following new sanctions legislation signed into law this month.
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Article
Executing a sound GDPR data management strategy
If companies understand just one message between now and when the EU’s GDPR comes into force next year, that message is simply this: Clean up your data.
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Blog
Vantage Drilling: Justice Department ends FCPA probe
Vantage Drilling Company, an offshore drilling contractor, announced this week that it will not be facing an enforcement action from the Department of Justice regarding a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.
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Blog
Stericycle faces FCPA probe
Stericycle, a medical-waste disposal company, disclosed in a recent securities filing that it is being investigated by the Securities and Exchange Commission and the Department of Justice for potential violations of the Foreign Corrupt Practices Act concerning the company’s operations in Latin America.
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Article
Anti-corruption and human rights make Olympic debut
Starting with the 2024 Summer Games in Paris, Olympic host cities must agree to abide by certain anti-corruption and human rights principles meant to clean up the world of global sports.
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Article
New EU medical device regulations pose many compliance challenges
Companies that market or sell medical devices within the EU will have to abide by significant new rules regarding product classification, clinical evaluations, quality management, and more.
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Article
Keeping customer service on the right track
A poor customer interaction can result in a PR nightmare, especially on social media. How can compliance help ensure that staff is properly trained to avoid a reputational fiasco?
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Blog
U.K. mulls new fines for lax cyber-security measures
Organisations that fail to implement effective cyber-security measures could face significant fines, as part of plans to make Britain’s essential networks and infrastructure safe, secure, and resilient against the risk of future cyber-attacks.
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Blog
U.K. government seeks views on NIS Directive
The U.K. government this week published a consultation seeking views on its plans to implement the EU’s Network and Information Systems Directive, which is due to come into force in May 2018.
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ArticleStriving toward a better ethics and compliance training program
NAVEX’s 2017 report on ethics and compliance training is out, and the results are required reading for compliance officers eager to know how well their programs compare to their peers.
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Blog
SFO investigating British American Tobacco
The U.K. Serious Fraud Office confirmed that it is investigating suspicions of corruption in the conduct of business by British American Tobacco, its subsidiaries, and associated persons over bribery allegations in East Africa.
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Blog
Teradata discloses FCPA probe
Teradata, an IT service management company, disclosed in its most recent quarterly filing that it has, through internal processes, discovered potential violations of the Foreign Corrupt Practices Act concerning one of its international subsidiaries doing business in Turkey.
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Blog
Archrock names general counsel amid FCPA probe
Archrock Partners has appointed Stephanie Hildebrandt as senior vice president and general counsel, effective Aug. 7. Hildebrandt's appointment comes amid an ongoing Foreign Corrupt Practices Act investigation in connection with certain previously disclosed errors and possible irregularities at one of its former international operations.
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Article
GDPR compliance is lagging
A survey says many firms are nowhere near ready to comply with the new EU data privacy standard. CCOs should consider people, processes, technology, and data when building a GDPR solution.
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Blog
Financial Conduct Authority seeks views on AML supervision
The Financial Conduct Authority has launched a consultation regarding the government-proposed Office for Professional Body AML Supervision, which sets out draft expectations about how professional body supervisors can meet their AML supervision obligations.