All Compliance Week articles in Web Issue – Page 11
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Blog
SoFi appoints general counsel
Digital financial services provider SoFi Technologies announced Stephen Simcock as general counsel.
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Blog
Freedom Holding adds first legal chief
Financial services company Freedom Holding Corp. announced the appointment of Jason Kerr as its first chief legal officer.
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News Brief
Epoch Times CFO charged in $67M money laundering scheme
The chief financial officer of the Epoch Times was charged with laundering at least $67 million in illegally obtained funds to bolster the fortunes of the newspaper and himself.
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News Brief
Airbus U.S. unit dinged by BIS for antiboycott violations
Satellite communications company Airbus DS Government Solutions received a reduced penalty from the Bureau of Industry and Security for admitting self-disclosed violations of antiboycott regulations.
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News Brief
CFPB to require nonbanks to register outside enforcement orders
The Consumer Financial Protection Bureau passed a new rule requiring nonbank financial companies to register consumer protection orders filed against them by other federal agencies, courts, or states.
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News Brief
EEOC latest regulator to name AI chief
The Equal Employment Opportunity Commission announced the appointment of an officer overseeing the use of artificial intelligence, becoming the latest agency to create the role called for in a President Joe Biden executive order.
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Webcast
CPE Webcast: Operationalizing responsible AI: Developing a sustainable process to effectively manage risk
With recent advancements in generative technologies, the integration of AI into business operations has accelerated and thus, the concept of responsible AI has gained critical importance.
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Premium
Big Tech data for finance: Will FCA plans set trend?
Plans in the United Kingdom to share Big Tech data with financial services firms could prompt other industry regulators to follow suit or result in “unintended consequences” that see Meta, Google, and others growing market share.
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Event
Photo gallery: Women in Compliance, TPRM & Oversight Summits
Compliance practitioners gathered at the Signia by Hilton in downtown Atlanta for Compliance Week’s Women in Compliance and Third-Party Risk Management & Oversight Summits from June 3-4.
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News Brief
Ericsson completes DOJ-imposed compliance monitorship
Swedish telecommunications giant Ericsson announced the conclusion of the independent compliance monitorship imposed on the company following its 2019 settlement for violations of the Foreign Corrupt Practices Act.
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News Brief
Autodesk says no restatements following accounting probe
Software company Autodesk said it won’t restate several years of financial statements following an audit committee investigation into potential accounting misconduct.
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Podcast
Podcast: SEC Commissioner Hester Peirce on regulatory demands, CCO input
Compliance Week’s Aaron Nicodemus sat down for an exclusive chat with SEC Commissioner Hester Peirce covering the flood of new regulation emanating from the agency, stresses on compliance at smaller firms, CCO liability, and more.
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Premium
Kanter says DOJ adapting antitrust enforcement for AI
The Department of Justice’s Antitrust Division is examining how its policies and enforcement mechanisms are suited to handle potential issues brought about by the proliferation of use of artificial intelligence.
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News Brief
Hyundai Motor caught in DOL complaint over child labor
The Department of Labor sued three Alabama businesses, including a Hyundai Motor manufacturing plant, for employing a 13-year-old worker on an auto parts assembly line.
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Premium
Experts express skepticism toward ‘challenging’ SFO strategy
The U.K. Serious Fraud Office last month published its five-year strategic plan outlining how it intends to improve information gathering and international cooperation, as well as its enforcement record.
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Blog
Cetera names chief compliance officer
Cetera Financial Group named Daniel Burkott as chief compliance officer of its tax channel, which includes Cetera Financial Specialists and Avantax.
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Blog
Ardent Health appoints chief compliance officer
Ardent Health announced the appointment of Jason Ehrlinspiel as chief compliance officer.
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Blog
Alliance Entertainment announces chief compliance officer
Alliance Entertainment Holding Corp. announced the appointment of Robert Black as chief compliance officer.
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Blog
Texas Capital names chief risk officer
Texas Capital Bancshares, the parent company of Texas Capital, announced the appointment of David Oman to serve as chief risk officer.
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News Brief
Innovasis, execs settle false claims case for $12M
Medical device manufacturer Innovasis and two of its top executives agreed to pay a total of $12 million to settle allegations originally brought by a whistleblower that they paid kickbacks to physicians.