All Compliance Week articles in Web Issue – Page 136
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Video
Fireside chat: Moving the needle on ESG compliance
This session from Compliance Week’s 2022 virtual ESG Summit features William Norton, associate general counsel of the Investment Adviser Association, moderating a discussion with Amanda Patrick, director of ESG/corporate sustainability at Rite Aid. The event was held Sept. 19-20, 2022.
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Video
Tackling supply chain disruptions
This session from Compliance Week’s 2022 virtual ESG Summit features a discussion between Frank Meehan, managing director - ESG and climate at FiscalNote, and Alexis Huseby, VP and research analyst of ESG at Lazard Asset Management. The event was held Sept. 19-20, 2022.
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Video
A blueprint for developing your ESG program
This session from Compliance Week’s 2022 virtual ESG Summit features Simrin Jhangiani, director of marketing at MetricStream, moderating a discussion with Adrian Khouri, global director of ESG at Tenneco, and Emily Parlapiano, director of ESG programs and reporting at Amneal Pharmaceuticals. The event was held Sept. 19-20, 2022.
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Video
Best practices for reporting on ESG
This session from Compliance Week’s 2022 virtual ESG Summit features a presentation by Doug Hileman, president and founder of Douglas Hileman Consulting. The event was held Sept. 19-20, 2022.
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Video
Scope 3 emissions and coordinating with third parties
This session from Compliance Week’s 2022 virtual ESG Summit features a presentation by Jaymin Desai, director of strategy of ESG and sustainability cloud at OneTrust. The event was held Sept. 19-20, 2022.
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Video
Board responsibilities with Scope 1 emissions
This session from Compliance Week’s 2022 virtual ESG Summit features a discussion between Charles Waring, partner - audit and assurance at EisnerAmper, and Lori Kaczynski, VP of internal audit and chief executive at Graphic Packaging International. The event was held Sept. 19-20, 2022.
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Article
Waddell & Reed to pay $775K over wrap fee compliance failures
Investment adviser Waddell & Reed will pay about $775,000 as part of a settlement with the Securities and Exchange Commission for compliance failures and breaching its fiduciary duty.
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Article
Sparkster to pay $35M for selling unregistered crypto securities
Software development company Sparkster and its CEO Sajjad Daya agreed to collectively pay more than $35 million for the offer and sale of unregistered crypto securities.
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Article
Morgan Stanley unit fined $35M for mishandling customer data
Morgan Stanley Smith Barney agreed to pay $35 million to settle Securities and Exchange Commission charges it repeatedly disregarded the safeguarding of clients’ personal data in decommissioning local storage devices.
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Article
Treasury seeking comment on illicit finance risks posed by digital assets
The Treasury Department is seeking public input on how to address illicit finance and national security risks posed by digital assets, part of a multipronged push by the Biden administration to hold bad actors accountable and identify potential enforcement and regulatory gaps.
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Article
CFTC commissioner calls for agency to require more admissions of guilt
Commissioner Christy Goldsmith Romero would like the Commodity Futures Trading Commission to stop offering no-fault settlements as a matter of routine but instead force more individuals and corporations to accept responsibility for their wrongdoing.
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Premium
ESG Summit: How Rite Aid is preparing to comply with SEC’s climate disclosure rule
Amanda Patrick, Rite Aid’s director of ESG/corporate sustainability, shared the retail pharmacy chain’s sustainability journey so far and how it is readying to meet the SEC’s potential disclosure mandates during her keynote address at CW’s virtual ESG Summit.
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Article
South Korea data regulator fines Google, Meta combined $72M
South Korea’s data regulator fined Google and Meta a total of ₩100 billion (U.S. $72 million) for violating the country’s personal data collection law, which forbids the collection and use of personal information without user consent.
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Article
HP recruits general counsel from Yahoo
Tech giant HP recruited Julie Jacobs to join next month as its chief legal officer and general counsel. Jacobs serves as senior executive vice president, general counsel and corporate secretary at Yahoo.
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Article
Dems seek stronger HIPAA privacy for abortion patients
Democratic senators are urging the Department of Health and Human Services to strengthen federal health privacy protections for abortion patients by updating the HIPAA Privacy Rule.
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Article
SEC fines four in pay-to-play enforcement sweep
Four investment advisers were fined between $45,000 and $95,000 by the Securities and Exchange Commission for violating the agency’s pay-to-play rule.
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Article
OnPoint promotes general counsel to chief legal officer
OnPoint Community Credit Union announced the appointment of Wendy Beth Oliver as senior vice president and chief legal officer.
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Article
Brazil airline Gol settles FCPA bribery charges for $41M
Brazilian airline Gol agreed to pay $41 million as part of reduced settlements addressing bribery investigations conducted by authorities in the United States and Brazil.
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Article
MIG appoints chief legal officer in charge of compliance
McNeill Investment Group, formerly McNeill Hotel Investors, announced the appointment of Sussan Harshbarger as a managing director and chief legal officer.
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Article
Pinterest names chief legal officer to head compliance
Social media company Pinterest announced the appointment of Wanji Walcott as chief legal officer, effective Nov. 14.