All Compliance Week articles in Web Issue – Page 1337
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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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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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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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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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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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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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Article
Terex adds sustainability to chief compliance officer’s title
Global manufacturer Terex Corp. announced Stacey Babson Kaplan has been promoted to senior vice president, chief sustainability and compliance officer.
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ArticleSEC, OCC flag heightened risks from crypto bankruptcies
The Securities and Exchange Commission and Office of the Comptroller of the Currency reminded public companies and financial institutions, respectively, of their responsibilities to properly manage risks related to the crypto asset market.
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PremiumTricky but doable: Tips for navigating sanctions in third-party relationships
Sanctions concerns don’t need to end all business relationships in high-risk regions. Experts at CW’s virtual TPRM and Oversight Summit share their experiences navigating compliance.
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ArticleSantander UK fined $132M for poor AML controls
The U.K. arm of Santander was fined approximately £107.8 million (U.S. $132 million) by the Financial Conduct Authority for “serious and persistent” gaps in its anti-money laundering controls.
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PremiumTPRM Summit: How to successfully implement data analytics
A panel of experts at CW’s virtual TPRM and Oversight Summit offered a how-to primer on using data analytics to monitor third-party risk while also highlighting some caveats to implementation.
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ArticleFifth JPMorgan Chase metals trader convicted of fraud in DOJ spoofing case
A former JPMorgan Chase and Credit Suisse precious metals trader was convicted of fraud, wrapping up a long-running Department of Justice investigation into the manipulation of the precious metals markets from 2008-16.
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Article
BMG appoints senior director of global DEI
BMG, a division of global media, services, and education company Bertelsmann, announced the appointment of Pierrot Raschdorff as senior director of global diversity, equity, and inclusion.
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ArticleDOJ official addresses liability concerns stemming from Uber CSO case
Principal Associate Deputy Attorney General Marshall Miller called the conviction of a former Uber Technologies chief security officer on obstruction charges an “outlier” that should not discourage compliance officers from self-reporting violations.
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ArticleCFPB proposes repeat offender registry for nonbank consumer law violations
The Consumer Financial Protection Bureau proposed a rule that would require certain nonbank financial firms to register consumer protection orders filed against them by other federal agencies, courts, or states into a new, publicly accessible registry.
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Article
Equitybee names chief compliance officer
Financial solutions startup Equitybee announced the appointment of Susan Woodard as chief compliance officer. She will also serve as chief executive officer for Equitybee Securities.
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ArticleCompliance implications of Danske Bank’s $2B Estonia money laundering settlement
Danske Bank reached final resolutions with U.S. and Danish authorities to settle allegations regarding widespread anti-money laundering deficiencies at its former Estonia branch.
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ArticleESG oversight highlighted in annual audit committee transparency report
Public companies continue to increase the overall level of audit committee disclosures in proxy statements, though there is room to improve quality by providing more tailored disclosures and transparency, according to the latest annual report.
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ArticleBankman-Fried fraud charges detail FTX’s lack of internal controls, risk management protocols
A flurry of criminal and civil fraud charges laid against FTX founder Sam Bankman-Fried have pulled back the veil on the cryptocurrency exchange’s complete lack of internal controls and toothless risk management procedures.
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Article
Dinara names head of compliance, general counsel
Digital asset services startup Dinara announced the appointments of Victor Guerra as head of compliance and Yanire Martes as general counsel.