All Compliance Week articles in Web Issue – Page 123
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VideoTop regulatory trends impacting third-party risk management
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features Stephanie Font, director, operations and optimization group at Diligent, moderating a discussion with Charles Duross, partner at Morrison & Foerster, and Michael Pacella, vice president, global chief ethics and compliance officer at Covetrus. The event was ...
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VideoHuman rights are not just an ‘ESG factor’
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features a discussion between Olivia Windham Stewart, deputy director of the BHR law program at the Center for Corporate Law and Governance at Rutgers Law School, and Gwendolyn Hassan, adjunct professor at Loyola University Chicago School of ...
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VideoNavigating global and domestic sanctions landscape
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features a discussion between Nancy Jacobson, counsel, global compliance and ethics at United Airlines; Stephanie Cripps, counsel at Freshfields Bruckhaus Deringer; and Izak Rosenfeld, associate general counsel at Access Now. The event was held Dec. 7-8, 2022.
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VideoTargeting risk owners and first line of defense
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features a discussion between John Pawloski, senior vice president, global chief ethics and compliance officer at Assurant; Vishal Thakkar, chief risk officer at Options Clearing Corporation; and Melanie Gallagher, head of TPRM at Intuit. The event was ...
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VideoDeep dive into third-party relationships
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features Steve Naughton, director of regulatory compliance studies at Loyola University Chicago Law School, moderating a discussion with Sandeep Bhide, vice president of product management at ProcessUnity, and Jessica Sanderson, partner at Volkov Law Group. The event ...
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VideoEnterprise-wide governance risk and control structure
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features a discussion between William Nelson, associate general counsel at the Investment Adviser Association; Kristy Grant-Hart, founder of Spark Compliance; and Colleen Milazzo, senior vice president at Shared Assessments. The event was held Dec. 7-8, 2022.
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VideoUsing data analytics to identify third-party risks
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features Michael Rickman, former vice president of compliance and ethics at Goodyear, moderating a discussion with NS Rao, integrated risk management principal at Workiva, and Ali Ikram, chief operating officer for the office of ethics and compliance ...
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VideoABAC and AML issues overview
This session from Compliance Week’s 2022 virtual Third-Party Risk Management & Oversight Summit features Phil Palmer, ethics and compliance program manager at Shell UK, moderating a discussion with Frederick Ratliff, managing counsel ABC AML at Shell US, and Preeti Wadhawan, regional head of compliance – India, APAC & MEA at ...
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ArticleRabobank probed by Dutch prosecutors over potential AML violations
Rabobank, the second largest bank in the Netherlands, is being investigated by the Dutch Public Prosecution Service for potential violations of the country’s anti-money laundering/countering the financing of terrorism law.
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ArticleChallenges for SPACs: Public company, now what?
Special purpose acquisition company transactions have unique risks and require awareness of what it takes to operate as a public business. Internal controls, governance, technology, and more are essential.
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Article
Two Point Capital, CEO dinged $100K for compliance procedure lapses
Two Point Capital Management and its CEO John McGowan were fined a total of $100,000 by the Securities and Exchange Commission for failing to adopt and implement policies and procedures tailored to guide the firm’s compliance with federal securities law.
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ResourceSurvey Report: Measuring the impact of code of conduct training
In the past, compliance training was regarded by companies as optional. Organizations can no longer afford to take that view.
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Article
Ex-Weber Shandwick CFO imprisoned 4-plus years for embezzlement
The former chief financial officer and chief operating officer of public relations firm Weber Shandwick was sentenced to more than four years in prison and ordered to pay more than $26 million for a nearly decade-long embezzling scheme.
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PremiumTPRM Summit: Experts discuss FCPA lessons learned from ABB settlement
A panel on regulatory trends at CW’s virtual TPRM and Oversight Summit discussed lessons for compliance departments seeking to learn how to guard themselves against bad actors within their own firms contained in ABB’s recent $327 million bribery settlement.
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Article
VEON adds group diversity and inclusion officer
Dutch telecommunication services company VEON announced Ana de Kok-Reyes will serve in the newly established role of group diversity and inclusion officer.
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Article
Neptune Flood appoints chief risk officer
Neptune Flood Insurance announced the appointment of Matthew Duffy as chief risk officer.
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Article
NextPlat names chief compliance officer
Global e-commerce provider NextPlat Corp. announced the hiring of Robert Bedwell as chief compliance officer.
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Article
First Foundation promotes chief risk officer to banking head
Financial services company First Foundation announced Hugo Nuño will serve in the newly created role of executive vice president, chief banking officer.
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ArticleThree KPMG firms disciplined in $7.7M enforcement sweep
The Public Company Accounting Oversight Board announced $7.7 million in total penalties against three separate KPMG firms and four individuals for varying violations of audit standards and ethical rules, including alleged exam cheating.
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ArticleU.S. law to stop Uyghur forced labor remains compliance challenge
It’s been six months since the Uyghur Forced Labor Prevention Act took effect, and businesses are no clearer today on how to comply with it, those familiar with the law said.