All Compliance Week articles in Web Issue – Page 303
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Article
SEC names associate regional director in Los Angeles office
The Securities and Exchange Commission has named Katharine Zoladz as associate regional director for enforcement in the Los Angeles Regional Office.
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Article
Study: Shareholder support down for board nominees
The number of board nominees who failed to receive majority shareholder support in the first six months of 2019 reached a five-year high, according to the latest ProxyPulse report.
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Article
Aerie Pharmaceuticals appoints chief compliance officer
Aerie Pharmaceuticals has appointed Charlene Davis as vice president and chief compliance officer.
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Article
EU whistleblower protection law gets go-ahead
Whistleblower protections against dismissal, demotion, and other forms of retaliation will come into effect in the European Union within the next two years, according to an agreement signed recently by EU leaders.
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Article
More foreign investments to be scrutinized under Treasury proposals
The Committee on Foreign Investment in the United States (CFIUS) will have a bigger role in assessing a deal’s impact on national security after two recent proposals by the Treasury Department.
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Study: General counsel pay at five-year high
As the role of the top legal officer at public companies continues to evolve, general counsel compensation has steadily increased over the last five years, according to a new report.
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Article
Pay.UK appoints chief risk officer
Pay.UK announced it has appointed Helen Hunter-Jones as chief risk officer.
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BDO warns about state of ‘broken’ U.K. audit market
The head of one of the United Kingdom’s biggest accountancy firms has said the audit market is “clearly broken” and “trust needs to be restored,” though how that should be done is “not clear.”
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Report: Nissan stopped audit chief’s plan to expand misconduct probe
A high-ranking Nissan executive reportedly quashed a recommendation to establish a special committee to determine whether any additional disciplinary actions were necessary surrounding allegations of financial misconduct.
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Q&A: Shaping culture for the greater good at AstraZeneca
In this one-on-one, we caught up with Louise Vamvoukaki, director of sustainability education and engagement at AstraZeneca, who shared how the company overhauled its organizational culture through design of its Code of Ethics.
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Article
Osano launches data privacy platform
Osano, a B-Corporation focused on data privacy transparency, announced the availability of its SaaS-based data privacy platform.
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Article
AdvisorAssist upgrades compliance engine
AdvisorAssist, a regulatory compliance and business risk management consulting firm, announced the rollout of its updated compliance intelligence engine, AdvisorCloud 360.
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Article
OCC eases stress-testing requirements for banks
New OCC requirements mean national banks and federal savings associations with assets under $250 billion will no longer have to self-administer stress tests annually.
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Article
Former KPMG co-lead pleads guilty in inspections scandal
Former KPMG partner David Britt pleaded guilty to one count of conspiracy to commit wire fraud as the fallout from the cheating scandal that has plagued the firm for nearly two years appears to be nearing its conclusion.
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Article
Upcoming regulatory events: SEC, DOJ, FASB, and more
Fall is a busy time for regulators across the compliance landscape. Take note of upcoming events, plus some early conference registration news.
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Article
DOJ contests Eni’s statement concerning corruption case
Calling Eni’s statement “misleading,” the Department of Justice wants to make it clear its corruption inquiry into the Italian oil company was not closed for lack of evidence.
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Resource
e-Book: FCPA: More Crumble Under Revised DOJ Policy
Violations of anti-corruption laws can have devasting consequences for any company across any industry, if not managed appropriately—including significant fines, reputational damage, and litigation that can span several years—all of which create disruption to business operations.
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Article
Survey: Compliance execs like AI, but not confident they can harness it
Compliance and procurement leaders see the value in using artificial intelligence, but far too many aren’t confident they have the right skills in place to use it, according to a new report from Dun & Bradstreet.
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Article
Bill requiring shell companies to disclose ownership introduced in Senate
Aimed at fighting money laundering, newly proposed legislation looks to mandate full transparency from shell companies on ownership and also fosters greater communication between financial institutions and law enforcement agencies.
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Article
Blockchain company to pay $24M for unregistered ICO
Block.one has agreed to settle charges with the SEC and pay a $24 million civil penalty for conducting an unregistered initial coin offering of digital tokens that raised the equivalent of several billion dollars.