All Compliance Week articles in Web Issue – Page 1423
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PremiumExperts: No easy fix for U.K. senior manager accountability shortcomings
Legal experts generally agree the U.K.’s record for prosecuting board-level executives for financial and economic crime could be better. But some believe there is a problem criticizing poor enforcement when the legislation in place has its own shortcomings.
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PremiumDOJ official: Expect more cybersecurity false claim enforcements
The announcement of a record year in several areas of False Claims Act enforcement at the Department of Justice was accompanied by a warning that more significant cases are coming, particularly regarding cybersecurity-related claims.
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Blog
RE/MAX ups chief compliance officer to EVP
RE/MAX Holdings, a franchisor in the real estate industry, announced the promotion of Susie Winders from senior vice president, general counsel, chief compliance officer, and secretary to executive vice president, general counsel, chief compliance officer, and secretary.
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Blog
Nuveen Churchill Direct Lending appoints new compliance chief
Specialty finance company Nuveen Churchill Direct Lending announced the appointment of Charmagne Kukulka as chief compliance officer.
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ArticleCW National 2024 preview: Diana Kelley on AI implications for compliance
Artificial intelligence expert Diana Kelley will discuss what AI means for organizations and explore the technology’s implications for compliance and enterprise risk as part of a keynote address at Compliance Week’s National Conference in Washington, D.C.
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PremiumCompliance’s role in managing challenges related to employee side hustles
Employees engaging in side businesses—part-time jobs or new company creations—can introduce a myriad of risks for a company.
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News BriefFATF adds Kenya, Namibia to AML/CFT watchlist; UAE, Uganda removed
Kenya was one of two African countries included in the Financial Action Task Force’s latest update to its list of jurisdictions under increased monitoring for money laundering and terrorist financing, while the United Arab Emirates was among four countries removed.
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News BriefCFPB exercises power to supervise installment lender World Acceptance
Installment lender World Acceptance Corp. was the subject of the Consumer Financial Protection Bureau’s first use of a dormant legal provision allowing it to establish supervisory authority over more nonbank financial companies.
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News BriefWalmart shares successes behind supplier emissions reduction initiative
Retail giant Walmart announced the completion of an initiative to reduce emissions in its supply chain six years earlier than its intended target.
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News BriefNew European AML agency to be based in Germany
The European Union’s recently approved Anti-Money Laundering Authority will be based in Frankfurt, Germany, and begin operations in 2025.
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WebcastCPE Webcast: Orchestrating operational resilience in financial services
Join us for an in-depth discussion on proven strategies, advanced technologies, and industry best practices that form the bedrock of operational resilience.
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PremiumFinCEN head touts compliance through enforcement approach
Andrea Gacki, head of the Financial Crimes Enforcement Network, said recent enforcement actions by the agency have addressed significant gaps in the U.S. anti-money laundering/countering the financing of terrorism regime and exposed specific risk factors, trends, and typologies.
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PremiumGrewal: Investors care about ESG claims—so do SEC enforcers
Environmental, social, and governance issues are increasingly material to investors, and the Securities and Exchange Commission is checking to ensure businesses’ ESG statements are above board, according to the agency’s enforcement director.
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PremiumFCA calls attention to continued trade manipulation tactics
Financial firms continue to flout rules designed to protect investors from being misled about the true value of financial products, according to a recent bulletin from the U.K.’s Financial Conduct Authority.
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Blog
Walgreens names global chief legal officer
Walgreens Boots Alliance, owner of the retail pharmacy chain Walgreens, named Lanesha Minnix as executive vice president and global chief legal officer.
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Blog
Boeing ups previous CCO to human resources chief
Aerospace giant Boeing announced Uma Amuluru, vice president and general counsel to Boeing Defense, Space & Security, as the company’s chief human resources officer and executive vice president, human resources.
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Blog
Loyola Marymount University appoints general counsel
Loyola Marymount University announced the appointment of Loretta Martinez as its first senior vice president and general counsel.
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Blog
Nubank adds chief legal officer
Brazil-based financial services platform Nubank announced the arrival of Elita Ariaz as its new chief legal officer.
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Blog
Revelstoke Capital Partners names CCO as partner
Private equity firm Revelstoke Capital Partners announced Blake Bennett will serve as partner, chief financial officer and chief compliance officer.
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Blog
Zions Bancorporation appoints general counsel
Zions Bancorporation announced Rena Miller will take over as general counsel.