All Compliance Week articles in Web Issue – Page 2
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Premium
Off-channel comms ‘hottest’ SEC mock exam topic, survey finds
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
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News Brief
DOJ lauds Guardant Health’s cooperation in cancer test false claims case
California-based cancer testing company Guardant Health agreed to pay more than $945,000 to settle allegations levied by the Department of Justice of violating the False Claims Act and Stark Law.
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Blog
Mahindra Group announces sustainability chief
Mahindra Group announced the appointment of Ankit Todi as the new group chief sustainability officer.
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Premium
Experts: Further reforms needed beyond revamped London Stock Exchange rules
The U.K. Financial Conduct Authority is revamping the London Stock Exchange rules, but more changes may be needed to achieve growth and attract initial public offers, experts said.
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News Brief
FTX reaches $4 billion settlement with CFTC in bankruptcy court lawsuit
FTX Trading and the Commodity Futures Trading Commission have agreed on a $4 billion settlement in bankruptcy court to settle the CFTC’s lawsuit against the failed crypto trading platform.
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Blog
Avalo Therapeutics announces legal chief
Avalo Therapeutics announced that Paul Varki has joined the company as its chief legal officer.
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Blog
Ascot Group announces group GC
Global specialty insurance company Ascot Group Limited announced that Michael Sevi has joined the firm as group general counsel.
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Blog
Comstock appoints general counsel
Comstock Holding Companies announced the appointment of Robert Demchak to the executive leadership team as general counsel and corporate secretary.
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Blog
Direct Line Group announces group risk chief
Insurance company Direct Line Group announced that Maz Bown is to be appointed as group chief risk officer.
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News Brief
Lithuanian DPA orders Vinted to pay $2.6M over GDPR violations
The data protection authority of Lithuania levied a fine of 2.4 million euros (U.S. $2.6 million) against Vinted UAB, an online clothing trading and exchange platform, for alleged violations of the European Union’s General Data Protection Regulation.
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Premium
Employees accuse OpenAI of illegal NDAs blocking whistleblower rights
Anonymous employees of OpenAI accused the company of requiring employees to sign nondisclosure agreements (NDAs) that “prohibited and discouraged” them from reporting securities law violations to federal regulators.
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Updated UFLPA enforcement strategy targets aluminum, PVC, seafood imports
U.S. Customs and Border Protection will make it a priority to check shipments of aluminum, polyvinyl chloride, and seafood from China and elsewhere in the region for links to forced labor, according to an updated Uyghur Forced Labor Prevention Act enforcement strategy.
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News Brief
European Commission informs X it may be in breach of Digital Services Act
The European Commission informed X, formerly Twitter, that it may be the first company found to be in violation of the European Union’s Digital Services Act in areas “linked to dark patterns, advertising transparency, and data access for researchers.”
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Blog
ExpertConnect Litigation Support appoints GC
ExpertConnect Litigation Support announced that Jay Prabhu has been named managing director and general counsel.
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Blog
Seismic Therapeutic names general counsel
Seismic Therapeutic announced the appointment of Brendan St. Amant as general counsel.
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Blog
AST SpaceMobile announces legal chief as CFO
AST SpaceMobile announced the appointment of Andrew Johnson, who currently serves as chief legal officer, to the additional role of chief financial officer.
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Blog
Frontier Group Holdings names Newmont legal chief to board
Frontier Group Holdings announced the appointment of Nancy Lipson, former executive vice president and chief legal officer of Newmont Corporation, to its board of directors.
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Blog
Amherst appoints Santander risk chief as deputy investment chief
The Amherst Group, a real estate investment, development and operating platform specializing in residential assets, announced that Santander US Capital Markets’ chief risk officer Paul Nicholson has joined the firm as the deputy chief investment officer.
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Blog
ETS names chief legal officer
ETS, a global education and talent solutions organization, announced that Rick Sinkfield will join the company as chief legal officer.
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Blog
CenterCal Properties adds general counsel
CenterCal Properties announced the addition of John Kim as its general counsel.