All Compliance Week articles in Web Issue – Page 17
-
Blog
BHI appoints chief risk and compliance officer
BHI, the U.S. division of Israel-based Bank Hapoalim, appointed Nisan Blum as chief risk and compliance officer.
-
Blog
TRAC Intermodal adds legal chief
TRAC Intermodal, a marine chassis provider and pool manager, announced Katherine Whalen is joining as executive vice president and chief legal officer.
-
Blog
Protective Life names chief risk officer
Insurance company Protective Life Corp. announced Dom Lebel joined the company as senior vice president and chief risk officer.
-
Blog
NCB Management Services appoints legal chief
Financial services company NCB Management Services announced the appointment of Jonathan Thompson as chief legal officer.
-
Blog
Lumen Technologies appoints chief legal officer
Telecommunications company Lumen Technologies announced it appointed Chad Ho as executive vice president and chief legal officer.
-
News Brief
Lululemon facing probe in Canada over greenwashing complaints
Athletic apparel company Lululemon is under investigation by the Canadian Competition Bureau regarding whether it made misleading claims about environmental aspects of its business.
-
News Brief
FINRA enforcement roundup: Three firms fined for trade compliance lapses
The Financial Industry Regulatory Authority fined three firms—M1 Finance, Mizuho Securities, and Oppenheimer—between $250,000 and $500,000 across separate actions for failing to properly implement, monitor, and supervise internal systems that led to compliance failures.
-
Blog
NextEra Energy announces chief risk officer
NextEra Energy announced Kirk Crews was appointed as executive vice president and chief risk officer.
-
Blog
Optima Partners welcomes ex-RBC CCO as chief operating officer
Business management consultant Optima Partners announced the appointment of Michael Timotheou, former chief compliance officer at RBC Global Asset Management UK, as president and chief operating officer.
-
Opinion
Five reasons I’m excited for CW’s Financial Crimes Summit
Compliance Week’s Financial Crimes and Regulatory Compliance Summit will feature more than 50 prominent speakers representing government agencies, regulators, banks, investment advisers, and more tackling the top-of-mind risk areas facing the financial services industry.
-
Blog
Southwest Airlines announces regulatory chief, general counsel
Southwest Airlines announced the promotions of Jason Van Eaton to executive vice president, chief regulatory and corporate affairs officer and Jeff Novota to vice president, general counsel and corporate secretary.
-
Blog
Plooto names chief compliance officer
Plooto, a payment automation solution for small-to-midsize businesses, welcomed Christopher Wassenaar as chief compliance officer.
-
Blog
Higher Logic appoints general counsel
Online community software provider Higher Logic announced it appointed Cheryl Brogan as general counsel.
-
Blog
AST SpaceMobile welcomes legal chief
Satellite designer and manufacturer AST SpaceMobile announced the appointment of Andrew Johnson as chief legal officer.
-
News Brief
FinCEN warns financial institutions on Iran-backed terrorist organizations
The Financial Crimes Enforcement Network advised financial institutions in detecting illicit transactions related to Iran-backed terrorist organizations.
-
News Brief
SEC faults former IA Gainvest for nontailored compliance manual
A Securities and Exchange Commission action against former registered investment adviser Gainvest Legal Corp. yielded a notable takeaway for others in the industry engaging consultants for compliance program support.
-
Premium
CW2024 panel: TPRM board buy-in earned through impact, activity
Identifying critical measures for third-party risk management has become vitally important as risk professionals face an uphill battle in fighting for resources, experts discussed at Compliance Week’s 2024 National Conference.
-
Podcast
Podcast: Responsible development and implementation of AI
Three experts join the Compliance Week podcast to discuss opportunities and risks posed by artificial intelligence, as well as governance frameworks your organization can implement to ensure AI tools are utilized safely and ethically.
-
Event
Virtual Roundtable: Whistleblowing in 2024: What compliance officers need to know
Compliance Week is hosting a virtual roundtable in which we’ll explore the modern whistleblower landscape and what corporate compliance programs need to know to follow the rules while enabling a speak-up culture.
-
Premium
Report: Human error driving growing number of data breaches
Verizon’s annual data breach report shows trends in cybersecurity incidents, including more ransomware and extortion attacks last year.