All United States articles – Page 91
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News BriefEx-Wells Fargo exec to pay $5M in SEC settlement over fake accounts
Carrie Tolstedt, the former head of Wells Fargo’s community bank, agreed to pay nearly $5 million to settle charges levied by the Securities and Exchange Commission related to the bank’s fake account scandal.
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PremiumAvoiding the echo chamber: CCO among ‘crucial’ roles in crisis response
Businesses can be well prepared to manage a crisis by having continuity among stakeholders and avoiding leakage of privileged information to prevent conflict, a panel of legal and compliance experts shared at Compliance Week’s 2023 National Conference.
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News BriefFormer SEC Chair Harvey Pitt dead at 78
Harvey Pitt, the former chairman of the Securities and Exchange Commission and an inaugural Compliance Week columnist, died. He was 78 years old.
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PremiumCW2023 panel: Taking on the corporate culture monster
A trio of panelists offered a framework and strategy for embedding ethical culture into organizations at Compliance Week’s 2023 National Conference.
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PremiumCW2023: CBP official on early impact of Uyghur forced labor law
Customs agents have flagged thousands of products marked as made in Malaysia, Vietnam, or elsewhere in accordance with the UFLPA, an official from U.S. Customs and Border Protection shared during a panel at Compliance Week’s 2023 National Conference.
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News BriefGartner to pay $2.5M to settle alleged FCPA violations in South Africa
Gartner agreed to pay nearly $2.5 million as part of a settlement with the Securities and Exchange Commission addressing alleged violations of the Foreign Corrupt Practices Act in South Africa.
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Premium‘Elephant in the room’: Combating tension between compliance, HR
Regulators are collaborating—both domestically and internationally—more than ever before. And they expect companies to be doing the same, noted panelists during a session on collaboration between compliance and human resources at Compliance Week’s 2023 National Conference.
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Supreme Court once again strikes blow to DOJ’s fraud theories
A pair of unanimous Supreme Court decisions handed down earlier this month are the latest in a string of cases in which it has expressed concerns about government overreach regarding anti-corruption enforcement and wire fraud statutes.
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PremiumRecord Meta fine brings wider GDPR ramifications for EU-U.S. data transfers
Meta’s latest punishment for breaching the European Union’s General Data Protection Regulation will have far-reaching ramifications for companies both in Europe and beyond.
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News BriefOCC pledges harder stance on banks that allow weaknesses to fester
The Office of the Comptroller of the Currency could require large banks to take substantial actions to address persistent weaknesses, including restricting their growth or forcing them to divest from risky ventures.
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PremiumAsk a CCO: Importance of data analytics, AI over next 5 years
Six senior compliance practitioners forecast the impact advances in data analytics and artificial intelligence will have in their future compliance efforts.
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Premium‘Be comfortable with being uncomfortable’: Compliance vets share career advice at CW2023
Experienced compliance professionals offered career advice and tips for building trust between compliance and the C-suite during a panel discussion at Compliance Week’s 2023 National Conference.
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News BriefPolite: Voluntary self-disclosure rising since DOJ policy changes
The Department of Justice has seen an uptick in self-reported potential misconduct by corporations since it increased incentives for voluntary disclosure, according to Assistant Attorney General Kenneth Polite Jr.
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News BriefOneMain Financial fined $4.25M in NYDFS cybersecurity case
Mortgage servicer OneMain Financial Group will pay $4.25 million to settle allegations it left customer information vulnerable to cyberattacks by failing to implement required controls under New York’s cybersecurity law.
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Blog
Cartography Biosciences promotes interim COO to chief legal officer
Cartography Biosciences announced the promotion of interim Chief Operating Officer Blaine Templeman to chief administrative and legal officer.
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PremiumAsk a CCO: Pressing pain point in working with data for compliance
Six senior compliance practitioners disclose hurdles their respective departments have faced in utilizing data for compliance purposes.
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PremiumHow ‘Star Wars’ references in E&C training can help employees avoid the dark side
Compliance practitioners learned how to become ethical Jedi masters during a panel discussion on integrating pop culture into training at Compliance Week’s 2023 National Conference.
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News BriefSurgeon general joins call to enhance children’s online privacy
The U.S. surgeon general issued a “call for urgent action” to policymakers about further limiting social media access for youth, along with enhancing online privacy protections for children.
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News BriefGaia fined $2M for subscriber overstatement, whistleblower retaliation
Digital video subscription service Gaia will pay a $2 million fine to the Securities and Exchange Commission for allegedly overstating its paid subscribers and retaliating against an internal whistleblower.
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Blog
Securian Financial recruits DEI chief from Target
Securian Financial announced the appointment of Tariq Malik as second vice president and chief diversity officer.