All Compliance Week articles in Web Issue – Page 1367
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PremiumMindset matters for governance and compliance success in the cloud
Shifting your organizational structure to align with a capability-based operating model can help you focus on delivering outcomes for customers, instead of concentrating on different departments and processes.
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News BriefJPMorgan to pay $290M to settle Jeffrey Epstein class action
JPMorgan Chase announced it reached an agreement in principle to settle claims made in a class-action lawsuit regarding the bank’s ties to convicted sex offender Jeffrey Epstein.
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News BriefOCC soliciting input on proposed trust in banking survey
The Office of the Comptroller of the Currency announced a request for information to implement an annual survey aimed at tracking public trust in banking and bank supervision.
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Resourcee-Book: Climate and sustainability reporting challenges
Significant change in corporate attitudes toward environmental, social, and governance (ESG) reporting have many companies implementing controls and governance processes over the collection, review, and reporting of sustainability information for the first time.
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ArticleThe importance of protecting client money
In today’s financial landscape, protecting client money and assets is a fundamental requirement of an effective compliance program. If client money is not protected, firms can suffer serious consequences.
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WebcastCPE Webcast: Lessons learned from privacy enforcement actions and emerging trends
In 2023, more American organizations than ever need to comply with stricter and wider-reaching requirements for collecting and processing personal data.
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News Brief
SEC charges Sabby Management over short sales
New Jersey-based investment adviser Sabby Management and its managing partner were charged by the Securities and Exchange Commission with engaging in a fraudulent short selling scheme involving the stocks of nearly a dozen public companies.
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News BriefSwedish DPA fines Spotify $5.4M for ‘low level’ GDPR lapses
Sweden’s data protection authority levied a fine of 58 million Swedish krona (U.S. $5.4 million) against music streaming service Spotify following an audit on how the company handles customers’ rights to access their personal data.
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PremiumNutanix discloses remediation steps following costly software misuse
A lack of oversight of employees handling vendor software is one of several failings at cloud computing company Nutanix that led to misuse, $11 million in estimated costs, and two pending lawsuits.
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News BriefSEC spring 2023 regulatory agenda: 37 rules in final stage
The rest of the year is shaping up to be busy at the Securities and Exchange Commission, where final rules regarding climate-related disclosures, enhanced cybersecurity risk governance, and more are all on the near-term agenda.
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Blog
Mariva Capital Markets recruits CCO from Beta Capital Securities
Financial services veteran Robert Lebowitz joined Mariva Capital Markets as chief compliance officer.
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Blog
Silverado Senior Living appoints VP of legal & risk, CCO
Silverado Senior Living announced the appointment of Kristina Hulsey as vice president of legal and risk and chief compliance officer.
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PremiumShades of SolarWinds in lessons from MOVEit hack
A ransomware attack affecting some of the U.K.’s largest corporations has highlighted once again how exposed organizations can be if the levels of cybersecurity used by their third parties are not as strong as expected.
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Blog
Carisma Therapeutics recruits Idorsia Pharmaceuticals CCO for GC post
Carisma Therapeutics announced the appointment of Eric Siegel as general counsel and corporate secretary.
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Blog
Rite Aid names chief legal officer
Rite Aid announced the appointment of Thomas Sabatino as executive vice president and chief legal officer.
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Blog
Centrus Energy promotes director of compliance to acting GC, CCO
Nuclear power company Centrus Energy Corp. announced the promotion of Senior Assistant General Counsel and Director of Legal Affairs and Corporate Compliance Shahram Ghasemian to acting general counsel, chief compliance officer, and corporate secretary.
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WebcastCPE Webcast: How well do you know your third-party risks?
The speed of Silicon Valley Bank’s collapse was scary. But what is even scarier was the number of businesses affected by the collapse—not because they did business directly with SVB but because their vendor(s) did business with the bank.
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Blog
DigitalBridge promotes investment management GC to chief legal officer
Financial services company DigitalBridge announced the promotion of Geoffrey Goldschein, investment management division managing director and general counsel, to chief legal officer and company secretary.
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Blog
Merchants & Marine Bancorp recruits FDIC examiner for chief risk post
Merchants & Marine Bancorp announced the appointment of Antonio Davis as chief risk officer.
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Blog
Inbenta recruits DoorDash privacy leader for chief legal officer role
Artificial intelligence and technology company Inbenta announced the appointment of Adam Rivera as chief legal officer.