All Compliance Week articles in Web Issue – Page 408
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Blog
IBM acquires Armanta
IBM this month announced its acquisition of Armanta, a provider of aggregation and analytics software to financial services firms.
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Blog
Allergan elects new board member
Allergan has elected John Davidson to its board of directors. Davidson and the other directors standing for re-election to Allergan's board were elected at Allergan's Annual General Meeting of Shareholders on May 2.
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Blog
Bitfinex appoints chief compliance officer
Digital asset trading platform Bitfinex has appointed Peter Warrack as chief compliance officer. Warrack joins Bitfinex from the Bank of Montreal, where he most recently was director of AML (Fintech Advisory) and compliance officer.
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Blog
NOVAGOLD announces election of directors
Novagold Resources, a precious metals company engaged in the development of mineral properties in North America, has announced the election of directors from its Annual General Meeting of Shareholders held on May 4.
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Article
Lessons to be learned from first declination under new FCPA policy
The first declination under the new FCPA Corporate Enforcement Policy is not exactly a home run, but it does offer compliance officers a litany of considerations in addressing FCPA matters of their own.
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Blog
Labor Dept. maintains scaled-back enforcement while fiduciary rule in limbo
Despite being on the losing end of a legal challenge and amid a presidentially demanded review, the Department of Labor says it will extend temporary enforcement policies related to its fiduciary rule for retirement-focused investing advice.
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Blog
Commissioner Piwowar will depart SEC this summer
On May 7, in a letter to President Trump, SEC Commissioner Michael Piwowar announced plans to depart the post he has held since 2013. He intends to resign on June 7, or upon the swearing in of his successor.
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Blog
FDA rule for mandatory nutrition labels goes into effect
The Food and Drug Administration has chosen not to block or further delay the May 7 compliance date for requirements that restaurants, supermarkets, convenience stores, and movie theaters list calorie information on all menus and menu boards.
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Blog
Note from the editor: About our new newsletter
Our new Compliance Week News e-mail newsletter features the same great content with a fresh look, a clean, easily scannable layout, and a smart categorization of stories.
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Blog
N.Y. regulator fines NRA-branded insurance provider
New York’s Department of Financial Services has announced that Lockton Affinity and its parent company will pay a $7 million fine for serving as the administrator of the National Rifle Association-branded “Carry Guard” insurance program.
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Blog
What signal will Germany send on VW?
What effect will the U.S. indictment of former Volkswagen CEO Martin Winterkorn have on German prosecutors? Will Germany have the desire to indict and try the former head of the world’s largest auto manufacturer and pride of Germany?
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Blog
Operational excellence for better compliance
By focusing on the business process nature of compliance, you can create a more effective compliance regime.
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Blog
Autonomy verdict and FCPA defenses
A recent case involving Autonomy and Hewlett-Packard shows that it is not the bribe receiver’s conduct but the bribe payor’s conduct that matters.
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Blog
Learning lessons from FCPA enforcement actions
Two FCPA enforcement actions against Panasonic and Hewlett-Packard Mexico are good reading for the compliance practitioner and offer lessons in stamping out fraud.
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Blog
Ex-Volkswagen CEO indicted over emissions-cheating scandal
An indictment, unsealed Thursday, charges former Volkswagen CEO Martin Winterkorn with conspiracy and wire fraud relating to the company’s long-running emissions-cheating scandal.
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Resource
Busting eLearning Myths: Separating Effective Training From Trends
Many compliance e-learning trends promise to deliver cutting-edge capabilities that can engage learners and embed knowledge like never before. But are these trends really fads? Or are these trends going to drive long-term learning value?
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Blog
SEC proposes amending auditor independence rules
The SEC is proposing changes to its auditor independence rules to relax limitations that made compliance with loan provisions virtually impossible.
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Blog
Parliament moves to halt AML activities in Overseas Territories
In an effort to stem the tide of money-laundering activites in Britain's 14 Overseas Territories (including the British Virgin Islands), the U.K. parliament accepted a cross-party amendment to the Sanctions and AML Bill that will force the territories to set up public registers of beneficial ownership.
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Blog
SEC launches new enforcement action search tool for investors
The SEC has announced the launch of a new, online search feature that enables investors to look up whether the person trying to sell them investments has a judgment or order entered against him in an enforcement action. The SEC Action Lookup for Individuals is now live and available as ...
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Blog
SEC wants Jay-Z to testify about clothing brand deal
The SEC has filed a subpoena and asked a federal court in the Southern District of New York to order rapper Jay-Z to testify over the acquisition of his Rocawear clothing line by Iconix Brand Group, a $169 million writedown of the brand in 2016, and a reported loss of ...