All Compliance Week articles in Web Issue – Page 57
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Blog
LPL Financial names chief compliance officer
LPL Financial announced the appointment of Jim McHale as executive vice president and chief compliance officer.
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Blog
Autodesk announces first chief sustainability officer
Autodesk, a provider of 3D design, engineering, and construction software, announced the appointment of Joe Speicher as the company’s first chief sustainability officer.
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Blog
The Hartford names new general counsel
Insurance giant The Hartford promoted its Deputy General Counsel and Corporate Secretary Don Hunt to general counsel and head of law, compliance, and government affairs.
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Blog
Modern Wealth Management appoints chief compliance and legal officer
Modern Wealth Management announced the hiring of J.P. Rankin as chief compliance and legal officer.
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News Brief
Bank of America unit fined $24M in FINRA spoofing case
Bank of America Securities agreed to pay $24 million in settling with the Financial Industry Regulatory Authority for allegedly failing to supervise the “spoofing” activities of two former traders in U.S. Treasury markets.
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Premium
One company’s voluntary self-disclosure, two companies’ FCPA settlements
Nicole Argentieri, acting head of the Department of Justice’s Criminal Division, explained how the actions of Jardine Lloyd Thompson Group Holdings coming forward helped bring about the agency’s recent FCPA enforcements against Tysers Insurance Brokers and H.W. Wood.
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News Brief
China-based PwC affiliates fined $7M in historic PCAOB actions
The Public Company Accounting Oversight Board imposed $7 million in total penalties against two PwC affiliates under its first settlements with mainland Chinese and Hong Kong firms since the passage of the Holding Foreign Companies Accountable Act.
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News Brief
FinCEN adopts beneficial ownership reporting extension for 2024 companies
The Financial Crimes Enforcement Network finalized a rule to extend the deadline for companies created or registered in 2024 to file their initial beneficial ownership information reports.
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Premium
Compliance officers share lack of faith in off-channel comms monitoring policies
Addressing employee use of off-channel communications for conducting business was clearly on the minds of compliance officers who responded to our “Inside the Mind of the CCO” survey, but their confidence in their related policies and procedures was surprisingly weak.
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Blog
HeiQ adds Lenzing sustainability chief to board
Hygiene technologies company HeiQ announced the appointment of Lenzing Chief Sustainability Officer Robert van de Kerkhof as nonexecutive director to its board.
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Blog
FinTech Australia adds Birchal legal chief to board
Advocacy body FinTech Australia added Kellie Morton, chief legal officer and director at Birchal, to its board.
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Blog
European Stability Mechanism names general counsel
The European Stability Mechanism appointed João Gião as its general counsel.
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Blog
Pipedrive welcomes general counsel
Pipedrive, a customer relationship management software tool, announced the appointment of Phillip Mellet as its new general counsel.
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Blog
AIMCo announces chief legal officer
The Alberta Investment Management Corp. announced the appointment of Shelley Nixon as chief legal officer.
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Blog
EuroAPI appoints chief legal, compliance officer
Pharmaceutical ingredients company EuroAPI announced the appointment of Marion Santin as chief legal, compliance, and IP officer, as part of its executive committee.
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Webcast
CPE Webcast: What 2024 holds for compliance: Trends and forecasts
Review key changes in regulatory, legal, and compliance obligations in 2023 and how these are impacting organizations, in addition to learning practical steps compliance departments can take now to get ahead of the 2024 risk landscape.
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Premium
Binance’s compliance past, future detailed
There are a slew of compliance lessons to be learned from the $4.3 billion settlement that Binance, the world’s largest cryptocurrency exchange, reached with the U.S. government.
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News Brief
Bank of America fined $12M over demographic data reporting lapses
Bank of America will pay a $12 million penalty for allegedly reporting false mortgage lending data to the federal government, under a settlement reached with the Consumer Financial Protection Bureau.
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News Brief
FCA adopts rule package aimed at thwarting greenwashing
The Financial Conduct Authority will implement a series of rules to minimize instances of “greenwashing” in the U.K. market.
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News Brief
First American fined $1M by NYDFS over 2019 cybersecurity breach
First American Title Insurance Company agreed to pay a $1 million fine and implement stronger compliance measures for not securing customers’ personal data, the New York State Department of Financial Services announced.