All Compliance Week articles in Web Issue – Page 348
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Article
Swedbank announces governance overhaul, launches culture probe
Swedbank CEO Jens Henriksson announced the financial institution is making some major organizational changes “to create simpler and clearer decision-making structures to facilitate the realization of the bank’s strategy.”
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ResourceWhite paper: File Sharing for Financial Services and Banking Industry
In this age of unprecedented growth in unstructured data, emerging global privacy regulations, and increased threat of cyberattacks, a heightened focus on data security is no longer optional.
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Article
Motorcar Parts of America names accounting chief
Motorcar Parts of America announced the promotion of Kamlesh Shah to chief accounting officer. Shah succeeds Kevin Daly, who will serve as vice president, operational accounting.
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Article
Doctors Company promotes chief risk officer
Medical malpractice insurance firm The Doctors Company announced the promotion of longtime company executive Marco Vanderlaan to chief financial officer and chief risk officer.
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ArticleJefferies to pay $4M for improper handling of ADRs
Broker-dealer Jefferies will pay $4 million to settle charges for the improper handling of “pre-released” American Depositary Receipts (ADRs), the Securities and Exchange Commission announced.
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ArticleSFO latest to investigate Glencore over bribery concerns
Glencore announced it is under investigation by the U.K. Serious Fraud Office over suspicions of bribery, making it the third investigation the multinational commodity trading and mining company is now facing.
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Article
Former Fed Chair Paul Volcker passes away
Paul Volcker, former chairman of the Federal Reserve and eponym to the controversial Volcker rule of the Dodd–Frank Act, died Sunday. He was 92.
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ArticleStudy: Spike in OFAC sanctions pose compliance challenges
Some companies might scramble to comply with more—and sometimes quickly shifting—sanctions requirements as the U.S. government chalks up record enforcement levels.
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ArticleU.S. lenders feel confident, but why? Compliance, risk challenges abound
Financial institutions are feeling more confident than ever about their compliance management practices, but they remain concerned about the “moving targets” of regulators, new research shows.
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Article
EBRD debars GE Power Sweden for record six years in corruption case
The European Bank for Reconstruction and Development has imposed a record six-year term of debarment on GE Power Sweden concerning a long-running corruption scheme at 2015 acquisition Alstom Power Sweden.
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ArticleCeladon execs charged with accounting fraud
Two former top executives of trucking company Celadon Group face civil and criminal charges for their participation in an accounting fraud scheme that inflated the company’s income and earnings per share.
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Article
Mitsubishi Motors NA names general counsel
Mitsubishi Motors North America announced the appointment of Katherine Knight to the role of vice president and general counsel.
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Article
Apollo Investment announces new CCO
The board of directors of Apollo Investment Corp. appointed Isabelle Gold as chief compliance officer, the company announced in an SEC filing.
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Article
LGIM appoints chief compliance officer
Legal & General Investment Management announced the appointment of Camille Blackburn as chief compliance officer.
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Article
Hillenbrand tabs chief accounting officer
Global industrial firm Hillenbrand has named Andrew Kitzmiller as its vice president, chief accounting officer and controller.
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Article
MGIC promotes longtime employee to chief risk officer
Mortgage Guaranty Insurance Corp. promoted Steven Thompson to executive vice president – chief risk officer. Thompson joined MGIC in 1998.
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Article
Principal Financial appoints general counsel
Financial investment management company Principal Financial Group announced the appointment of Christopher Littlefield as its new general counsel.
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Article
Penumbra names new accounting chief
Healthcare firm Penumbra announced the promotion of Lambert Shiu to chief accounting officer among several leadership changes.
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Article
OneMain Financial adds general counsel
Personal loans provider OneMain Financial announced the appointment of Adam Rosman as executive vice president and general counsel.
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Article
XA Investments announces new general counsel
Chicago-based investment manager XA Investments has named Benjamin McCulloch as general counsel.