All Compliance Week articles in Web Issue – Page 3
-
Blog
Coinme appoints legal, compliance chief
Coinme, a cryptocurrency cash exchange, announced the appointment of Robert Villaseñor as the company’s chief legal and compliance officer.
-
Blog
C1 names chief risk officer
C1, a global technology solution provider, announced that Rui Goncalves has been promoted to chief legal officer.
-
Blog
First Federal Bank of Kansas City announces risk chief
First Federal Bank of Kansas City announced that it has hired Jenny Michaels as its chief risk officer.
-
Blog
Clear Street adds chief risk officer
Financial services firm Clear Street appointed Atul Pawar as chief risk officer.
-
Blog
FirstBank announces chief risk officer
FirstBank announced the appointment of Jennifer Payne as chief risk officer.
-
News Brief
FinCEN updates red flags to watch for in thwarting West Bank settler violence
The Treasury Department’s Financial Crimes Enforcement Network updated an alert first issued in February warning financial institutions of Israeli extremists fomenting violence in the West Bank.
-
News Brief
FRC dings MacIntyre Hudson $156K over public interest entity violations
The U.K.’s Financial Reporting Council fined audit firm MacIntyre Hudson (MHA) and two employees for breaching the agency’s requirements.
-
Basic Page
Marathon Oil inks $242M settlement with DOJ, EPA over N. Dakota air pollution
Marathon Oil Company agreed to pay $241.5 million and bring the company into compliance with federal emissions rules in the vicinity of North Dakota’s Fort Berthold Indian Reservation after years of violations, the Department of Justice said.
-
News Brief
DOJ latest agency to charge crypto platform BitMEX for BSA/AML failures
The parent company of crypto-trading platform BitMEX is again facing charges of violating the Bank Secrecy Act, the latest in a string of punishments against the company and its founders for failing to implement adequate know your customer and anti-money laundering programs.
-
Premium
Lessons from PwC’s failure to squelch dissent in the ranks with ‘silent layoffs’
It’s been a trying time for staff at firms with redundancies, affecting morale as layoffs mount amid an effort to silence dissent in the ranks for those departing.
-
News Brief
FINRA fines UBS unit $850K for failing to properly monitor customer transactions
UBS Financial Services, a subsidiary of the Swiss banking giant UBS, has been fined $850,000 for failing to properly monitor transactions between its broker-dealers and third parties.
-
News Brief
Ex-Apple insider trading compliance head fined $1.1M for insider trading
A former Apple attorney who oversaw the company’s compliance with insider trading rules will pay a $1.1 million fine to settle insider trading charges levied by the Securities and Exchange Commission.
-
Sponsored
Webinar - Why are companies ditching hotlines
In 2024, our workplaces require proactive Speak Up technologies. Join Vault on August 6 to learn how you can implement these in your organization.
-
News Brief
OCC, Fed fine Citi $136M for repeated risk management, data governance failures
Citigroup will pay $135.6 million in fines levied by two banking regulators for repeated failures to remediate deficiencies in risk management, data governance, and internal controls.
-
News Brief
Rite Aid reaches $410M settlement with DOJ in opioid false claims case
Rite Aid agreed to pay $7.5 million and allow the Department of Justice to access nearly $402 million from the company’s forthcoming bankruptcy case to settle allegations it helped fuel the nation’s opioid epidemic.
-
Webcast
July 11 | GRC readiness: Your roadmap to effective integrated risk management
Taking on challenges from the always changing regulatory environment to cyber risks and data security requires a proactive, integrated approach to governance, risk, and compliance (GRC) management.
-
News Brief
Ex-Paxful co-founder pleads guilty to violating BSA/AML regulations
The co-founder and former chief technology officer of crypto peer-to-peer network Paxful faces charges related to violating the anti-money laundering requirements of the Bank Secrecy Act.
-
Premium
De-risking trend threatens global financial markets, Treasury official warns
As the United States and other Western countries turn the screws on criminals, hackers, terrorist organizations, and sanctions evaders attempting to access global financial markets, financial institutions could respond by reducing their connections to risky sectors, according to Treasury Under Secretary Brian Nelson.
-
Blog
Deutsche Bank names compliance chief and anti-financial crime officer
Deutsche Bank’s supervisory board appointed Laura Padovani as chief compliance and anti-financial crime officer.
-
Blog
AVITA Medical appoints legal, compliance chief
AVITA Medical announced the appointment of Nicole Linda Kelsey as chief legal and compliance officer and corporate secretary.