All Compliance Week articles in Web Issue – Page 245
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Raymond James chief accounting officer to retire
Investment banking firm Raymond James Financial disclosed in a regulatory filing that Chief Accounting Officer Jennifer Ackart has informed the company of her decision to retire, effective Sept. 30.
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Rite Aid adds general counsel
Drugstore chain Rite Aid announced the appointment of Paul Gilbert as general counsel and corporate secretary.
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Seniorlink names chief compliance, privacy officer
Tech-enabled health services firm Seniorlink announced the appointment of Amy McConnell as chief compliance and privacy officer.
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GMS appoints chief accounting officer
GMS, a specialty distributor of interior building products, announced William Forrest Bell has been appointed chief accounting officer, effective Sept. 14.
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BankUnited hires general counsel
BankUnited announced the appointment of Kevin Malcolm as senior executive vice president and general counsel, effective Sept. 14.
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Markel names chief risk officer
Insurance firm Markel Corp. announced Julia Chu has been appointed chief risk officer.
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Bioventus tabs chief compliance officer
Orthobiologic solutions provider Bioventus appointed Katrina Church as chief compliance officer.
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Plaid adds former CFPB general counsel
FinTech solutions provider Plaid has added Meredith Fuchs as general counsel. Fuchs previously served as general counsel at the Consumer Financial Protection Bureau.
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Choice Hotels appoints chief accounting officer
Hospitality franchisor Choice Hotels announced the promotion of Elizabeth Redmond to chief accounting officer amid a series of recent executive appointments.
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Mass. pharma company will pay $20.75M to settle FCA lawsuit
A Massachusetts-based pharmaceutical company will pay $20.75 million settle a whistleblower’s allegations that the company knowingly promoted misleading instructions for a skin lesion drug that caused doctors to submit false claims to Medicare.
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PCAOB study: Improved quality control needed in broker-dealer audits
Modest improvements in the audits of broker-dealers do little to absolve the need for firms to evaluate how they can enhance their systems of quality control, according to the latest figures from the PCAOB.
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We’re losing the war on AML, and big consultancies aren’t helping
Financial crimes expert Martin Woods writes that, in his experience, the big consultancy firms have made a substantial negative contribution to global AML endeavors.
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Banking regs reemphasize rules for monitoring accounts of foreign officials
Five federal regulatory agencies issued a reminder to banks and financial institutions that they should continually monitor risks associated with the accounts of foreign officials.
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Curtiss-Wright reports possible Russia sanctions violation
A North Carolina manufacturer that traces its origins back to the Wright brothers may have violated sanctions by doing business with two longtime customers purchased by a blacklisted Russian company.
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SEC wants to curb sensitive data contained in CAT submissions, EDGAR filings
Rule changes proposed by the SEC seek to limit the amount of personally identifiable information required in data submitted to the Consolidated Audit Trail and for public company filings.
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Survey: Weak leadership contributes to employee pressure to bend rules
A new global business ethics survey released by the Ethics & Compliance Initiative seeks to explain what factors contribute to employee pressure to compromise ethical policies or regulations and how to reduce that pressure.
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New DOJ office to monitor, evaluate compliance with antitrust judgments
A new office within the Antitrust Division will be tasked with monitoring corporate compliance initiatives connected with DOJ antitrust judgments, as well as evaluating whistleblower complaints regarding those judgments.
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NPB Financial Group to pay $1M for disclosure failures
NPB Financial Group has reached a $1 million settlement with the Securities and Exchange Commission to settle charges for breaches of fiduciary duty arising out of its mutual fund share-class selection practices.
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Uber’s former security chief charged in data breach cover-up
Uber’s former security chief has been charged in connection with an alleged cover-up of a 2016 data breach that compromised millions of people’s personally identifiable information.
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John Carreyrou at TPRM: How to spot a wolf in Steve Jobs’ clothing
John Carreyrou, the Wall Street Journal reporter who exposed Theranos and its founder Elizabeth Holmes as frauds, will be the keynote speaker on Day 2 of Compliance Week’s TPRM virtual conference Sept. 18.