All Compliance Week articles in Web Issue – Page 1402
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Blog
AIMCo announces chief legal officer
The Alberta Investment Management Corp. announced the appointment of Shelley Nixon as chief legal officer.
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Blog
Pipedrive welcomes general counsel
Pipedrive, a customer relationship management software tool, announced the appointment of Phillip Mellet as its new general counsel.
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Blog
European Stability Mechanism names general counsel
The European Stability Mechanism appointed João Gião as its general counsel.
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Blog
FinTech Australia adds Birchal legal chief to board
Advocacy body FinTech Australia added Kellie Morton, chief legal officer and director at Birchal, to its board.
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Blog
HeiQ adds Lenzing sustainability chief to board
Hygiene technologies company HeiQ announced the appointment of Lenzing Chief Sustainability Officer Robert van de Kerkhof as nonexecutive director to its board.
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PremiumCompliance officers share lack of faith in off-channel comms monitoring policies
Addressing employee use of off-channel communications for conducting business was clearly on the minds of compliance officers who responded to our “Inside the Mind of the CCO” survey, but their confidence in their related policies and procedures was surprisingly weak.
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News BriefFinCEN adopts beneficial ownership reporting extension for 2024 companies
The Financial Crimes Enforcement Network finalized a rule to extend the deadline for companies created or registered in 2024 to file their initial beneficial ownership information reports.
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News BriefChina-based PwC affiliates fined $7M in historic PCAOB actions
The Public Company Accounting Oversight Board imposed $7 million in total penalties against two PwC affiliates under its first settlements with mainland Chinese and Hong Kong firms since the passage of the Holding Foreign Companies Accountable Act.
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PremiumOne company’s voluntary self-disclosure, two companies’ FCPA settlements
Nicole Argentieri, acting head of the Department of Justice’s Criminal Division, explained how the actions of Jardine Lloyd Thompson Group Holdings coming forward helped bring about the agency’s recent FCPA enforcements against Tysers Insurance Brokers and H.W. Wood.
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News BriefBank of America unit fined $24M in FINRA spoofing case
Bank of America Securities agreed to pay $24 million in settling with the Financial Industry Regulatory Authority for allegedly failing to supervise the “spoofing” activities of two former traders in U.S. Treasury markets.
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Blog
Modern Wealth Management appoints chief compliance and legal officer
Modern Wealth Management announced the hiring of J.P. Rankin as chief compliance and legal officer.
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Blog
The Hartford names new general counsel
Insurance giant The Hartford promoted its Deputy General Counsel and Corporate Secretary Don Hunt to general counsel and head of law, compliance, and government affairs.
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Blog
Autodesk announces first chief sustainability officer
Autodesk, a provider of 3D design, engineering, and construction software, announced the appointment of Joe Speicher as the company’s first chief sustainability officer.
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Blog
LPL Financial names chief compliance officer
LPL Financial announced the appointment of Jim McHale as executive vice president and chief compliance officer.
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News BriefDOJ announces international anti-bribery initiative
The Department of Justice will increase its efforts to build relationships and foster collaboration with its global counterparts to thwart bribery and corruption under a new strategy.
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Blog
Sutter Health names first chief diversity and inclusion officer
Sutter Health announced the appointment of Dana Beckton as its first chief diversity and inclusion officer.
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Blog
Bogota Financial promotes risk chief to CEO
Bogota Financial Corp., holding company of Bogota Savings Bank, announced Kevin Pace, executive vice president and chief risk officer of parent company MHC, was named president and chief executive officer.
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News BriefMallinckrodt dodges $40M SEC penalty in disclosure violation case
Pharmaceutical company Mallinckrodt, fresh out of its second bankruptcy, was spared having to pay a $40 million penalty levied by the Securities and Exchange Commission for alleged disclosure and accounting failures related to its underpaying of Medicaid rebates.
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PremiumCompanies must hold insurers to account on AI use
Insurers embracing artificial intelligence-based technologies might pose serious risks to companies buying insurance if the risk data used to price their insurance premiums is used to train AI algorithms or shared on commonly used chatbots like ChatGPT.
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PremiumAutomated decision-making tech rules added to crowded CPPA agenda
The California Privacy Protection Agency drafted its rules to apply the rights allowed to residents under the California Consumer Privacy Act to automated decision-making technology used by businesses.