All United States articles – Page 211
-
ArticleFrom financial crisis to coronavirus: Shifting compliance trends in financial services
Keeping up with regulatory change; budget and resource allocation; and data protection issues were cited as the top three compliance challenges in the financial services industry, according to a recent study.
-
ArticleDOJ proposes rollback of legal shields for Twitter, Facebook
The Department of Justice has proposed a series of rollbacks of protections for online platforms that would encourage them to police their content.
-
ArticleTumultuous U.S. leadership hurts image of compliance
If “tone at the top” is a benchmark for determining ethical leadership, where does the United States stand?
-
ArticleWhy a principles-based regulatory approach works for CFTC
CFTC Chairman Heath Tarbert seeks to let the evolving commodities market breathe with a “principles-based” regulatory approach.
-
ArticleReport slams ‘woefully lax’ cyber-security controls at CIA
Cyber-security protections deployed for some of the nation’s most secret data was “woefully lax,” according to a 2017 intelligence brief that detailed shortcomings at the CIA following the agency’s 2016 data breach.
-
ArticleContact tracing app development stunted by inaction in Congress
As federal officials dicker over details in a federal data privacy law, the coronavirus continues to spread. Development of a key technological tool in the fight is being kneecapped by their inaction.
-
ArticleFormer Bumble Bee CEO sentenced 40 months for price-fixing
The former CEO and president of Bumble Bee Foods was sentenced to serve 40 months in prison and pay a $100,000 criminal fine for playing a leading role in a three-year antitrust conspiracy to fix prices of canned tuna.
-
ArticleRegulators skew virtual with summer events calendar
Despite the coronavirus pandemic throwing a wrench into the events industry, U.S. regulators are still planning Webinars and other opportunities this summer to engage with the public.
-
ArticleDOJ Civil Division head to resign
Jody Hunt, head of the Justice Department’s Civil Division, informed staff in an e-mail that he will resign from his role, effective July 3.
-
ArticleU.S. regulators boast coordination in addressing coronavirus fraud
Testimony provided by several agencies before a U.S. Senate Judiciary Committee hearing offers valuable insights for chief compliance and risk officers regarding where coronavirus fraud threats may lurk, especially in the financial services and healthcare sectors.
-
ArticleDems propose coronavirus whistleblower protection bill
A group of prominent Democratic legislators has proposed a whistleblower protection bill designed to help uncover fraud and waste in the trillions of dollars worth of coronavirus-relief funds allocated by Congress.
-
ArticleSEC guidance: Areas of focus for Reg BI
The SEC confirmed the June 30 compliance date for its Regulation Best Interest rule, in addition to sharing a handful of areas that deserve attention when making recommendations to investors in accordance with new policy.
-
ArticleBe mindful of gender equity with return-to-work policies
As you’re making your back-to-work policies during the emergence from our collective quarantines, take into consideration that “optional” isn’t an option for everyone.
-
ArticleFive cyber-security lessons from the pandemic
Verizon Public Sector Counsel David Kessler, winner of CW’s “Excellence in Compliance: Cyber-Security” award, offers five lessons garnered from the pandemic to assist companies with their cyber-security compliance.
-
ArticleLRN survey: Values, not policies, drive ethical behavior
Establishing a culture based on values and transparency is more effective at preventing misconduct than a robust set of rules, according to an LRN survey.
-
ArticleReport: AI tools carry many benefits, some risks for securities industry
A study on the use of artificial intelligence in the securities industry by FINRA found a number of challenges with the technology—data bias, customer privacy, and cyber-security among them—but noted it can offer “significant benefits.”
-
ArticleBest practices for auditing in the current crisis and beyond
A session from a recent MetricStream virtual conference provides lessons for internal audit on what risks to watch out for and how to chart a path forward.
-
ArticleMerrill Lynch to pay $7.2M to customers overcharged for mutual funds
Merrill Lynch will pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions, FINRA announced.
-
ArticleData broker lawsuit involving ZoomInfo could provide CCPA enforcement insight
As the July 1 enforcement deadline of the California Consumer Privacy Act inches closer, a recently filed lawsuit between two data marketing firms may shed light on the efforts companies must take to comply with the new law.
-
ArticleFCC seeks record $225M fine for robocall scam
The Federal Communications Commission is seeking a $225 million fine—the largest proposed penalty in its 86-year history—against a health insurance telemarketer for allegedly making approximately one billion illegally spoofed robocalls.