All Compliance Week articles in Web Issue – Page 1387
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News BriefDeloitte Colombia fined $900K by PCAOB for quality control violations
A Colombian affiliate of Big Four audit firm Deloitte agreed to pay $900,000 as part of a settlement with the Public Company Accounting Oversight Board addressing alleged quality control lapses that occurred during the 2016 audit of a bank.
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Blog
Centurion Wealth appoints chief compliance officer
Centurion Wealth, which specializes in holistic wealth management solutions tailored for entrepreneurs, executives, and independent women, announced Jill Grimes as its new chief compliance officer.
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Blog
Regions Financial names chief risk officer
Regions Financial Corp., parent company of Regions Bank, announced the appointment of Russell Zusi as chief risk officer.
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Blog
Kyros adds general counsel and chief compliance officer
Kyros, a Minnesota-based recovery services platform provider, announced Kathleen Finnegan as its new general counsel and chief compliance officer.
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Blog
Prime Therapeutics appoints chief compliance officer
Prime Therapeutics/Magellan Rx, a pharmacy benefit manager, announced the appointment of Tizgel High as chief compliance officer.
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Comerica names chief compliance officer
Comerica Bank announced the appointment of Kristina Janssens as senior vice president, chief compliance officer.
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WebcastCPE Webcast: Interagency guidance on third parties: How the expanded scope affects everyone
This webcast will provide an overview of new interagency guidance on third-party relationships, as well as share practical advice to ensure your organization is fully prepared for the expanded scope and what this means for your organization’s TPRM program.
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News Brief
Ex-Marcum partner suspended by SEC over Ault Alliance work
A former engagement quality review partner at Marcum agreed to pay a $30,000 penalty and be suspended as part of a settlement with the Securities and Exchange Commission addressing alleged violations of audit standards in his work at diversified holding company Ault Alliance.
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News Brief
Cybersecurity firm Intrusion to settle SEC fraud claims
Texas-based cybersecurity company Intrusion was charged with fraud by the Securities and Exchange Commission regarding alleged materially false and misleading statements made by its former chief executive.
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PremiumNaming and shaming? Fair approach? Expert views mixed on OFSI’s Wise Payments case
The recent decision by the U.K. Office of Financial Sanctions Implementation to disclose details of how Wise Payments failed to stop an individual from obtaining cash while subject to Russian sanctions has ignited debate about whether the agency is taking the right enforcement approach.
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News BriefDHS designates three Chinese companies for Uyghur forced labor
The Department of Homeland Security designated three companies to a growing list accused by the Biden administration of forced labor practices in the Xinjiang region of China.
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Blog
PSSI appoints first chief compliance officer
Food safety solution and sanitation provider PSSI announced the appointment of Diego Alvarez as its first chief compliance officer.
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Purple names chief legal officer
Purple Innovation, a premium mattress company, announced the appointment of Tricia McDermott as chief legal officer.
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Bally’s names global chief compliance officer
Casino entertainment company Bally’s Corp. announced the appointment of Don Westcott as senior vice president, global chief compliance officer.
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Blog
LEGO Group appoints chief sustainability officer
The LEGO Group, a family-owned toy company, appointed Annette Stube as chief sustainability officer.
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Blog
CNB Bank promotes VP of compliance to chief risk officer
CNB Bank announced the promotion of Katie Andersen to senior vice president, chief risk officer.
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News BriefClear Channel Outdoor to pay $26M in FCPA case over China bribes
Clear Channel Outdoor Holdings agreed to pay more than $26 million as part of a settlement with the Securities and Exchange Commission alleging its former China-based subsidiary bribed government officials to obtain outdoor advertising contracts.
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News BriefBoeing to pay $8.1M over Navy contract false claims
Aerospace giant Boeing agreed to pay $8.1 million as part of a settlement with the Department of Justice addressing allegations it submitted false claims regarding military aircraft contracts it had with the Navy.
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News BriefCiti affiliates fined $2M in SEC Reg BI case
Citigroup Global Markets and Citi International Financial Services agreed to pay a total of nearly $2 million as part of a settlement with the Securities and Exchange Commission resolving allegations they violated the disclosure obligations of Regulation Best Interest.
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News BriefSpruce Power fined $11M for misleading electric vehicle projections
Solar energy services provider Spruce Power Holding Corp. was assessed an $11 million penalty by the Securities and Exchange Commission as part of a settlement addressing its predecessor’s alleged misleading of investors regarding its electric vehicle sales pipeline.