All Compliance Week articles in Web Issue – Page 55
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News Brief
HHS: New cybersecurity regs on the way for hospitals
Hospitals can soon expect to see new draft cybersecurity regulations and benchmarking goals, according to the Department of Health and Human Services.
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Premium
DOJ official: Agency to ‘double down’ on data analytics efforts
The Department of Justice is upping its game regarding its use of data analytics to identify potential misconduct, and it expects companies to be doing the same.
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News Brief
SEC fall regulatory agenda: Climate disclosure rule targeted for 2024
The Securities and Exchange Commission’s latest regulatory agenda remains packed with proposals in the final rule stage, most notably the agency’s climate-related disclosure package.
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News Brief
OCC offers compliance guidance to banks on ‘buy now, pay later’ loans
New guidance from the Office of the Comptroller of the Currency advises banks to tailor their risk management strategies and lending oversight for “buy now, pay later” plans.
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Premium
Graphics: 2023 CCO/CECO salary trends
Year 5 of our “Inside the Mind of the CCO” survey saw the average salary of responding chief compliance officers and chief ethics and compliance officers decline slightly, while other statistical trends repeated from previous iterations.
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Webcast
CPE Webcast: Navigating the 2024 ESG landscape
Gain a greater understanding of the current ESG landscape and learn how technology solutions can help you manage your program
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News Brief
Canada’s AML agency fines RBC $5.5M over suspicious transaction reports
Royal Bank of Canada was assessed an administrative penalty of nearly 7.5 million Canadian dollars (then-U.S. $5.5 million) in November by the country’s financial intelligence agency for alleged deficiencies in its suspicious transaction reporting mechanisms.
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News Brief
SFO raids AOG Technics office in fraud probe
The U.K. Serious Fraud Office launched a fraud investigation into AOG Technics over allegations the company supplied fake airplane engine parts to major airlines across the globe.
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News Brief
FINRA fines four in securities lending sweep
The Financial Industry Regulatory Authority published disciplinary actions against four firms for failing to establish, maintain, and enforce a reasonably designed supervisory system over fully paid securities lending.
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Premium
CFTC’s Pham: ‘There will likely be more’ CCOs charged with individual liability
Caroline Pham of the Commodity Futures Trading Commission said she expects the regulator to pursue more individual liability cases against chief compliance officers, in the aftermath of landmark charges laid against the former CCO at Binance.
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Premium
Surveys: Finance, legal execs share concerns around AI use
Finance executives and general counsel alike say their firms and leadership teams are unprepared for the risks and benefits of artificial intelligence, according to two recent surveys.
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Resource
White paper: Maturity Matters: Is It Time to Advance Your Compliance Training Program?
Maturity models abound throughout the discipline of business management. In this instance, we define “maturity” as the degree and sophistication in which compliance training is formalized, implemented, integrated with risk management, and measured.
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Blog
Securonix names general counsel
Software company Securonix announced the appointment of Eunice Kim as general counsel.
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Blog
CNX announces general counsel
Natural gas company CNX Resources Corp. announced Timothy Bedard will join as executive vice president, general counsel and corporate secretary.
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Blog
LexinFintech Holdings appoints chief risk officer
Financial technology company LexinFintech Holdings announced its board of directors appointed Zhanwen Qiao as chief risk officer.
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Blog
Harvard University announces general counsel succession
Harvard University announced Eileen Finan as interim general counsel. The move came as Vice President and General Counsel Diane Lopez announced plans to retire after 30 years of service to the university.
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Blog
AIG appoints general counsel
Global insurance organization American International Group announced Rose Marie Glazer as general counsel.
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Blog
Southern Company names chief compliance officer
Energy services provider Southern Company announced Meredith Lackey will be its chief compliance officer.
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Blog
PwC Australia announces new general counsel
Accounting firm PwC Australia announced the appointment of Kylie Gray as general counsel.
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News Brief
Deutsche Wohnen earns CJEU win in high-profile GDPR appeal
German property company Deutsche Wohnen’s court win regarding a penalty levied against it for alleged violations of the General Data Protection Regulation carries notable ramifications for enforcement of the EU privacy law.