All Compliance Week articles in Web Issue – Page 324
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Article
Benchmark report provides holistic look at compliance best practices
A benchmark report published by NAVEX Global provides comprehensive research into the multiple disciplines of an ethics and compliance program.
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Article
Congress shows new resolve to combat shell companies
The United States seems poised to finally tackle issues surrounding shell companies and their often-opaque beneficial ownership structures.
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Article
Kroll adds managing director to cyber-risk practice
Kroll announced the appointment of Thomas Brittain as an associate managing director in the Cyber Risk practice.
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Article
SFO appoints two non-executive directors
The U.K. Serious Fraud Office has appointed two new non-executive directors: Emir Feisal and Martin Spencer.
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Article
More cheating charges at KPMG: SEC fines firm $50M
The SEC has fined KPMG for not only allegations of cheating on regulatory inspections, but also new charges of numerous auditors cheating on training exams.
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Article
ICBC to pay more than $42M for improper handling of ADRs
Industrial and Commercial Bank of China Financial Services will pay more than $42 million to settle charges with both the Securities and Exchange Commission and the Department of Justice for the improper handling of “pre-released” American Depositary Receipts.
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Article
Breaking up is dumb to do
Is splitting up big tech companies a cure for their outsized influence? Probably not.
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Resource
White paper: Global Regulatory Outlook – Are We There Yet?
Following the 2008 financial crisis, regulatory compliance has come to play an ever-larger role in the lives of financial institutions. Regulatory requirements have become more complex and enforcement scrutiny has increased.
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Article
Realogy appoints chief ethics and compliance officer
Realogy Holdings has appointed Shacara Delgado as chief ethics and compliance officer, effective June 17.
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Article
Expedia settles with Treasury for violations of U.S. sanctions on Cuba
Expedia Group has agreed to pay more than $325,000 to resolve allegations that it violated U.S. sanctions on Cuba, the Treasury Department announced.
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Article
Antitrust argument the latest attempt to regulate Big Tech
Congress and presidential candidates alike are escalating their efforts to thwart the dominance of the tech giants.
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Article
French real estate company fined €400,000 for GDPR violations
France’s data watchdog CNIL levied a €400,000 (U.S. $453,000) fine on real estate services provider Sergic for failing to adequately protect the data of its Website’s users.
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Resource
White paper: Global AML Screening: Leveraging Technology to Combat False Positives
Organizations across regulated industries are obligated to screen transactions and customers against sanctions lists in order to avoid transacting with sanctioned countries, individuals and entities.
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Article
Refinitiv, Napier partner to combat AML
Refinitiv has partnered with AML software provider Napier to offer a transaction monitoring solution designed to tackle emerging threats in financial crime.
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Article
FCA publishes final report on RBS
The Financial Conduct Authority has concluded its investigation into the Royal Bank of Scotland and published a final report of its findings.
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Article
Vaalco Energy appoints chief accounting officer, controller
Vaalco Energy has appointed Jason Doornik as chief accounting officer and controller.
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Article
Standard Chartered Bank (Hong Kong) appoints chief risk officer
Standard Chartered Bank (Hong Kong) has appointed Frenda Li as head of internal audit and Darren Kim as chief risk officer.
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Article
Privia Health appoints chief compliance officer
National physician organization Privia Health has named Dana Fields as senior vice president and chief compliance officer.
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Article
Gateway First Bank names chief compliance officer
Gateway First Bank has appointed Natalia Coen as its new chief compliance officer.
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Article
FASB task force adds new members
The Financial Accounting Standards Board has appointed three new members to its Emerging Issues Task Force.