All Compliance Week articles in Web Issue – Page 47
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Blog
Credo adds new legal chief from Seagate
Connectivity solutions provider Credo Technology Group Holding announced Kate Schuelke will join as chief legal officer and corporate secretary.
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Blog
Octane Lending names chief risk officer
Financial technology company Octane Lending announced it appointed Mark Molnar as chief risk officer.
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Blog
SJI appoints general counsel
Energy infrastructure holding company South Jersey Industries announced the appointment of Timothy Lowry to senior vice president and general counsel.
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Blog
Cargill announces new legal, compliance chief
Food corporation Cargill announced Rishi Varma was named corporate senior vice president, chief legal and compliance officer and corporate secretary. In this role, he will also serve as general counsel.
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Premium
AMLA impact dependent on national collaboration
The impact of the Anti-Money Laundering Authority to improve the coordination and success of AML activities will be largely indirect, depending on its influence over European national governments continuing to supervise most EU financial services firms.
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News Brief
Genesis Global Trading fined $8M by NYDFS over AML, cyber lapses
Virtual currency brokerage firm Genesis Global Trading agreed to pay an $8 million penalty levied by the New York State Department of Financial Services for alleged compliance failures that left it vulnerable to illicit activity and cybersecurity threats.
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News Brief
JPMorgan to pay record $18M for violating SEC whistleblower rule
A subsidiary of JPMorgan Chase will pay an $18 million fine to the Securities and Exchange Commission for allegedly violating the agency’s whistleblower protection rule in hundreds of settlement agreements with clients and customers.
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Disclosure rules not enough to curb U.K. salary gaps
The issue of “fat cat” pay awards was reignited in the United Kingdom after a think tank found a typical FTSE 100 CEO earned the average annual salary for a full-time worker after just four days into the new year.
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Lessons from Albemarle, ABB: How data-driven compliance can help your firm
Andrew McBride, chief risk officer of Albemarle Corp., and Tapan Debnath, head of integrity, regulatory affairs and data privacy at ABB, discussed how and why their respective organizations use data analytics to conduct business as part of a recent webcast.
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News Brief
GDPR-minded Microsoft offers cloud customers EU-based personal data storage
Microsoft announced an expansion to its European Union data storage efforts that would allow cloud customers to keep all personal data stored within the EU boundary.
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News Brief
Morgan Stanley to pay $249M in SEC, DOJ fraud settlements
Morgan Stanley agreed to pay approximately $249 million as part of settlements with the Securities and Exchange Commission and Department of Justice to resolve an admitted fraud scheme involving block trades perpetrated, in part, by a former senior employee at the firm.
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Blog
PCAOB announces general counsel
The Public Company Accounting Oversight Board announced the appointment of James Cappoli as general counsel.
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Blog
Correlate Energy names ex-Redwood Materials CCO to board
Energy-minded real estate platform Correlate Energy Corp. appointed Alina Zagaytova, the former general counsel, corporate secretary, and chief compliance officer of Redwood Materials, to serve as a member of its board of directors.
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Blog
KeyCorp names chief risk officer
Financial services company KeyCorp announced Darrin Benhart, deputy chief risk officer, was named the bank’s chief risk officer.
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Blog
Lendmark appoints chief audit and compliance officer
Lendmark Financial Services appointed Becky Larrison as chief audit and compliance officer.
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News Brief
RDx Bioscience, CEO settle kickback case for $13M
New Jersey-based clinical laboratory RDx Bioscience and its chief executive officer agreed to pay more than $13 million to the Department of Justice to settle illegal kickback allegations.
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Premium
NIST report: Mitigating the risks of cyberattacks on AI systems
Cyberattacks on artificial intelligence systems are increasing, so it’s important users know their vulnerabilities and try to soften the damage if they get hit, according to a new report by the National Institute of Standards and Technology.
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News Brief
SEC risk alert flags observed deficiencies at security-based swap dealers
A new risk alert from the Securities and Exchange Commission highlighted common deficiencies and weaknesses in the compliance programs of security-based swap dealers.
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News Brief
SDNY launches whistleblower pilot program
The U.S. Attorney’s Office for the Southern District of New York took its efforts to encourage voluntary self-disclosure a step further with the launch of a whistleblower pilot program for individuals involved in nonviolent offenses.
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Blog
Oak Valley Community Bank announces risk chief
Oak Valley Community Bank announced the appointment of Kim Booke as executive vice president, chief risk officer.