All Compliance Week articles in Web Issue – Page 1197
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PodcastPodcast: Tools for leading during a crisis—fear
Performance coach and former rally car champion Penny Mallory explains the importance of identifying and overcoming your fears as part of her emotional intelligence podcast series.
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ArticleEC unveils six-point plan to tackle money laundering
The European Commission’s new six-point plan highlights what measures the agency will take to enforce, supervise, and coordinate EU rules on combating money laundering and terrorist financing.
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Article
SEC, DOJ ordered to review RBS whistleblower’s claim on $4.9B settlement
A federal appeals court ordered two federal agencies to review the whistleblower claims of a former Royal Bank of Scotland employee who is seeking a slice of a nearly $5 billion settlement.
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Article
Athene adds chief risk officer
Retirement services company Athene Holding announced Doug Niemann has been appointed executive vice president and chief risk officer.
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Article
Wedbush welcomes chief compliance officer
Financial services and investment firm Wedbush Securities announced the appointment of Michael McMaster as senior vice president and chief compliance officer.
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Article
Allianz names new chief risk officer
Allianz Holdings, the holding company for international financial services provider Allianz, announced the appointment of John Berry as chief risk officer.
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Article
Spotify appoints general counsel
Digital music service Spotify has appointed Eve Konstan as general counsel.
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ArticleSEC charges Ambassador Advisors compliance chief for breaching fiduciary duties
The SEC charged Ambassador Advisors and its principals—including its chief compliance officer—with breaches of fiduciary duty arising out of its mutual fund share-class selection practices.
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ArticleDriving innovation in supply-chain practices post-pandemic
A number of forward-thinking companies are using the coronavirus pandemic as an opportunity to drive promising innovations in their global supply chains.
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ArticleNine AGs sue EPA over non-enforcement policy
A coalition of nine attorneys general filed a federal lawsuit against the EPA in response to the agency’s policy that it will stop enforcing requirements under a wide range of federal environmental laws during the coronavirus pandemic.
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EventCoronavirus has made CW2020 a (virtual) gathering like no other
The coronavirus pandemic has made getting together for our annual National Conference impossible, but it’s also made this virtual gathering (Monday and Tuesday) perhaps the most important one we’ve ever had.
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ArticleAdvaMed issues pandemic compliance guidance for med-tech
The Advanced Medical Technology Association has released new compliance guidance for medical-technology companies to guide them in mitigating compliance and corruption risks as they help healthcare providers fight coronavirus.
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ArticleSanctions guidance: Best practices for maritime, energy, metals sectors
A global advisory to alert the maritime, energy, and metals sectors about common deceptive shipping practices used to evade sanctions includes seven sanctions compliance best practices to mitigate risk.
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VideoEIC2020 Consultant Winners: Guidepost Solutions (Small); Duff & Phelps (Large)
CW’s first-ever Excellence in Compliance Awards recognizes Bart Schwartz and Guidepost Solutions as winner of the Best Consultant (Small) award and Chris Lombardy and Duff & Phelps as Best Consultant (Large).
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VideoEIC2020 Technology Winners: LogicGate (Small); Refinitiv (Large)
CW’s first-ever Excellence in Compliance Awards recognizes Matt Kunkel and LogicGate as winner of the Best Technology Partner (Small) award and Phil Cotter and Refinitiv as Best Technology Partner (Large).
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VideoEIC2020 Winners: Alan Gibson (Anti-Corruption); Robert Seibel (TPRM); Cindy Merlino (Training)
CW’s first-ever Excellence in Compliance Awards recognizes Microsoft’s Alan Gibson as winner of the Excellence in Compliance (Anti-Corruption) award, Abercrombie & Fitch’s Robert Seibel as Excellence in Compliance (TPRM), and Pearson’s Cindy Merlino as Excellence in Compliance (Training).
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VideoEIC2020 Winners: David Kessler (Cyber-Security); Kalisa Barratt (Data Privacy)
CW’s first-ever Excellence in Compliance Awards recognizes Verizon’s David Kessler as winner of the Excellence in Compliance (Cyber-Security) award and Atrius Health’s Kalisa Barratt as Excellence in Compliance (Data Privacy).
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VideoEIC2020 Winners: Vera Powell (Rising Star); Jay Martin (Mentor)
CW’s first-ever Excellence in Compliance Awards recognizes Delta Air Lines’ Vera Powell as winner of the Rising Star in Compliance award and Willkie Farr & Gallagher’s Jay Martin as Compliance Mentor of the Year.
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VideoEIC2020 Lifetime Achievement in Compliance: Carrie Penman
NAVEX Global’s Carrie Penman shares her insight on how compliance should communicate with the C-Suite and more upon being named winner of the Lifetime Achievement in Compliance award at CW’s first-ever Excellence in Compliance Awards.
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VideoEIC2020 Compliance Comeback of the Year: Joshua Drew, VEON
VEON’s Joshua Drew discusses the keys to the company’s triumphant conclusion of a three-year compliance monitorship and deferred prosecution agreement upon being named winner of the Compliance Comeback of the Year award at CW’s first-ever Excellence in Compliance Awards.