All Compliance Week articles in Web Issue – Page 66
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Blog
Creation Investments appoints chief compliance officer
Creation Investments Capital Management announced the appointment of Therese Stoch as chief operating officer and chief compliance officer.
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Blog
EEOC swears in general counsel
The Equal Employment Opportunity Commission announced the swearing in of Karla Gilbride as general counsel.
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Blog
Disney names diversity chief
The Walt Disney Company appointed Tinisha Agramonte as senior vice president and chief diversity officer.
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News Brief
Banking regs release climate-related risk management framework
Federal banking regulators issued a long-promised framework that provides guidance on the safe and sound management of climate-related financial risks at large banks.
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Premium
Survey: Risk chiefs feeling pressure from growing compliance mandates
Mounting compliance requirements and technological innovations have chief risk officers facing more complex risk environments, according to a KPMG survey.
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News Brief
PCAOB fines Smythe $175K over unregistered firm use
Canada-based accounting firm Smythe agreed to pay a $175,000 penalty in settling with the Public Company Accounting Oversight Board regarding its use of unregistered firms across four issuer audits.
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News Brief
SEC fines BlackRock $2.5M over inaccurate investment disclosures
BlackRock Advisors agreed to pay $2.5 million as part of a settlement with the Securities and Exchange Commission addressing allegations the firm inaccurately described investments a fund it advised made in a now-defunct film production company.
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Podcast
Digital Transformation of Compliance podcast: Pure Storage CLO Niki Armstrong
In this episode of the Digital Transformation of Compliance podcast series, Niki Armstrong, chief legal officer and corporate secretary at Pure Storage, discusses how her compliance team is considering using generative artificial intelligence.
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Webcast
CPE Webcast: Unprepared for SEC cyber disclosures? You can get through this
Learn what cybersecurity strategy, governance, and risk management are and how to use an emerging definition for reasonable cybersecurity controls to help you define materiality.
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Premium
Social risks prove tripping point in early CSRD compliance efforts
Companies are still struggling to report meaningfully on societal risks as part of their efforts to meet demands for better environmental, social, and governance disclosures, experts discussed at Compliance Week’s Europe conference in London.
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Premium
Report faults FDIC for poor supervisory guidance on crypto assets
Uncertainty created by the Federal Deposit Insurance Corporation’s lack of clarity on risks posed by crypto assets has left member banks with the impression the agency wants banks to avoid them, according to a new report from the Office of Inspector General.
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News Brief
FRC proposes auditors closer scrutinize noncompliance
The U.K. Financial Reporting Council is the latest regulator to propose standard changes that would require auditors to play a larger role in detecting and reporting instances of noncompliance when reviewing company financial statements.
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News Brief
OECD group questions Brazil’s momentum on anti-bribery
Brazil has made strides in its anti-bribery enforcement efforts, but a working group at the Organization for Economic Cooperation and Development is concerned the country doesn’t have the controls in place to sustain its progress.
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News Brief
FinCEN alert flags Hamas terrorist financing indicators
The Financial Crimes Enforcement Network issued an alert warning financial institutions to be vigilant toward identifying funding streams supporting Hamas in its attacks against Israel.
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News Brief
Metropolitan Commercial Bank fined $30M for third-party oversight failings
New York-based Metropolitan Commercial Bank was assessed nearly $30 million in penalties by federal and state banking regulators for failing to properly oversee a third-party program manager whose prepaid cards were a popular target of fraud during the Covid-19 pandemic.
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Blog
FSU appoints new chief compliance and ethics officer
Florida State University appointed Robert Large as its new chief compliance and ethics officer.
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Blog
Michigan governor promotes CCO to deputy chief of staff
Michigan Gov. Gretchen Whitmer promoted Maria Martinez from chief compliance officer to deputy chief of staff on her executive team.
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Blog
Lyra Therapeutics announces new chief legal officer
Clinical-stage biotechnology company Lyra Therapeutics announced the appointment of Ronan O’Brien as chief legal officer.
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Blog
University of Michigan adds first ethics, integrity, and compliance officer
The University of Michigan appointed Michelle Casey as its first ethics, integrity, and compliance officer.
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Blog
Caterpillar names chief sustainability officer
Caterpillar, a manufacturer of construction and mining equipment, announced George Moubayed as its chief sustainability and strategy officer.