All Compliance Week articles in Web Issue – Page 70
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Blog
Equitable Bank appoints chief risk officer
Equitable Bank announced the appointment of Marlene Lenarduzzi as chief risk officer.
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Blog
East West Bancorp gets new chief risk officer
East West Bancorp, the parent company of East West Bank, announced the appointment of Irene Oh as executive vice president and chief risk officer.
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Blog
Xcel Energy promotes compliance head to chief customer officer
Xcel Energy announced Amanda Rome as executive vice president, group president of utilities and chief customer officer. Rome served as chief legal and compliance officer since 2021.
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Blog
TradeZero Canada Securities gets new CCO
TradeZero Holding Corp., which provides online trading platforms for retail traders, announced Leo Ciccone as chief compliance officer of TradeZero Canada Securities.
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Blog
Dominion Energy promotes chief legal officer
Dominion Energy announced Carlos Brown as president of Dominion Energy Services and executive vice president, chief legal officer and corporate secretary of Dominion Energy.
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Premium
Survey finds gender parity progress in general counsel compensation
Pay among women general counsel outpaced men in 2022 for only the second time since 2018, according to the latest compensation benchmarking report from corporate leadership data provider Equilar.
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News Brief
Fidelity unit fined $900K by FINRA for due diligence lapses
Fidelity Brokerage Services agreed to pay a $900,000 penalty levied by the Financial Industry Regulatory Authority regarding alleged due diligence failures caused by errors in the firm’s automated screening system.
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Resource
e-Book: Risks, opportunities under SEC’s cyber incident disclosure rule
The clock is ticking for public companies to put in place policies and practices to meet the requirements of the Securities and Exchange Commission’s newly approved cybersecurity incident disclosure rule.
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Premium
FinCEN crafting rule proposal for AML and sanctions whistleblower program
Andrea Gacki, the new director at the Financial Crimes Enforcement Network, said the agency is working to issue a notice of proposed rulemaking regarding the establishment of an anti-money laundering and sanctions whistleblower program.
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News Brief
SEC calls out Advisor Resource Council compliance structure in lawsuit
The Securities and Exchange Commission criticized the structure of the compliance program in place at Texas-based investment adviser Advisor Resource Council as part of a lawsuit against the firm and one of its former representatives.
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Premium
NIST framework might help organizations prepare for AI regulations
The new artificial intelligence framework released by the National Institute of Standards and Technology is not a checklist for AI but might help organizations better manage the risks associated with the technology.
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Blog
ChristianaCare adds chief compliance officer
ChristianaCare, a network of private, nonprofit hospitals, appointed Gregory Ehardt as senior vice president and chief compliance officer.
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Blog
UPMC chief legal officer to retire
The University of Pittsburgh Medical Center’s Executive Vice President and Chief Legal Officer Tom McGough announced his intent to retire at the end of this year.
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Blog
Syracuse University names chief compliance officer
Syracuse University announced the appointment of Christine Stallmann as chief compliance officer.
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Blog
EBRD names new chief compliance officer
The European Bank for Reconstruction and Development appointed Jelena Madir as managing director, chief compliance officer.
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Blog
AIG appoints general counsel
Insurance giant American International Group announced the appointment of Patricia Walsh as executive vice president and general counsel.
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News Brief
U.K.-based ADM unit fined $7.9M for historic AML shortcomings
ADM Investor Services International was ordered to pay nearly £6.5 million (U.S. $7.9 million) by the U.K. Financial Conduct Authority for not timely addressing anti-money laundering systems and controls deficiencies first alleged by the regulator in 2014.
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News Brief
Discover dodges fine in FDIC order over consumer compliance shortcomings
Discover Financial Services disclosed it avoided a monetary penalty in agreeing to a consent order with the Federal Deposit Insurance Corporation over alleged compliance shortcomings at its subsidiary bank.
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News Brief
Ericsson takes acting off CCO’s title
Swedish telecommunications company Ericsson announced the appointment of Jan Sprafke as its full-time chief compliance officer.
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Premium
Deutsche Bank unit ESG fine less about greenwashing, more about disclosures
The $19 million fine against DWS Investment Management Americas levied by the SEC wasn’t to punish greenwashing, experts said, but rather a penalty imposed for the firm not doing what it claimed related to its environmental, social, and governance investment strategy.