All Compliance Week articles in Web Issue – Page 1404
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Blog
CNX announces general counsel
Natural gas company CNX Resources Corp. announced Timothy Bedard will join as executive vice president, general counsel and corporate secretary.
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Blog
Securonix names general counsel
Software company Securonix announced the appointment of Eunice Kim as general counsel.
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ResourceWhite paper: Maturity Matters: Is It Time to Advance Your Compliance Training Program?
Maturity models abound throughout the discipline of business management. In this instance, we define “maturity” as the degree and sophistication in which compliance training is formalized, implemented, integrated with risk management, and measured.
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PremiumSurveys: Finance, legal execs share concerns around AI use
Finance executives and general counsel alike say their firms and leadership teams are unprepared for the risks and benefits of artificial intelligence, according to two recent surveys.
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PremiumCFTC’s Pham: ‘There will likely be more’ CCOs charged with individual liability
Caroline Pham of the Commodity Futures Trading Commission said she expects the regulator to pursue more individual liability cases against chief compliance officers, in the aftermath of landmark charges laid against the former CCO at Binance.
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News BriefFINRA fines four in securities lending sweep
The Financial Industry Regulatory Authority published disciplinary actions against four firms for failing to establish, maintain, and enforce a reasonably designed supervisory system over fully paid securities lending.
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News BriefSFO raids AOG Technics office in fraud probe
The U.K. Serious Fraud Office launched a fraud investigation into AOG Technics over allegations the company supplied fake airplane engine parts to major airlines across the globe.
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News BriefCanada’s AML agency fines RBC $5.5M over suspicious transaction reports
Royal Bank of Canada was assessed an administrative penalty of nearly 7.5 million Canadian dollars (then-U.S. $5.5 million) in November by the country’s financial intelligence agency for alleged deficiencies in its suspicious transaction reporting mechanisms.
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WebcastCPE Webcast: Navigating the 2024 ESG landscape
Gain a greater understanding of the current ESG landscape and learn how technology solutions can help you manage your program
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PremiumGraphics: 2023 CCO/CECO salary trends
Year 5 of our “Inside the Mind of the CCO” survey saw the average salary of responding chief compliance officers and chief ethics and compliance officers decline slightly, while other statistical trends repeated from previous iterations.
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News BriefOCC offers compliance guidance to banks on ‘buy now, pay later’ loans
New guidance from the Office of the Comptroller of the Currency advises banks to tailor their risk management strategies and lending oversight for “buy now, pay later” plans.
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News BriefSEC fall regulatory agenda: Climate disclosure rule targeted for 2024
The Securities and Exchange Commission’s latest regulatory agenda remains packed with proposals in the final rule stage, most notably the agency’s climate-related disclosure package.
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Premium
DOJ official: Agency to ‘double down’ on data analytics efforts
The Department of Justice is upping its game regarding its use of data analytics to identify potential misconduct, and it expects companies to be doing the same.
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News BriefHHS: New cybersecurity regs on the way for hospitals
Hospitals can soon expect to see new draft cybersecurity regulations and benchmarking goals, according to the Department of Health and Human Services.
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News BriefTrafigura to reserve $127M for DOJ settlement over Brazil bribes
Singapore-based commodity trading company Trafigura said it will disclose a $127 million provision related to the resolution of a Department of Justice investigation into alleged improper payments made in Brazil by former employees.
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Blog
American Association for Debt Resolution appoints compliance head
The American Association for Debt Resolution announced the appointment of Stacey Silva as head of compliance.
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Blog
De Beers announces general counsel
Diamond company De Beers Group announced Tom Johnson as general counsel.
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Blog
Emerson names chief legal officer
Automation software and technology firm Emerson announced the appointment of Michael Tang as senior vice president, secretary and chief legal officer.
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Blog
Cardano appoints U.K. head of sustainability
Investment management and advisory business Cardano announced the appointment of Keith Guthrie as head of sustainability for the United Kingdom and NOW: Pensions.
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Blog
Calliditas names group general counsel
Pharmaceutical company Calliditas Therapeutics appointed Brian Gorman as group general counsel.