All Compliance Week articles in Web Issue – Page 79
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Premium
Appreciating ESG fraud risk management
The factors that surround the environmental, social, and governance disciplines have grown from just a few to more than 50 considerations, indicating all three ESG elements carry equal weight when evaluating a proper corporate strategy.
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News Brief
Labor Department proposal seeks clarity for OSHA inspection reps
The Department of Labor issued a notice of proposed rulemaking to clarify regulations regarding authorized employee representatives during Occupational Safety and Health Administration compliance officer inspections.
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Blog
Peoples Bank appoints chief risk officer
Peoples Bancorp, the parent company of Peoples Bank, announced the appointment of Matthew Macia to executive vice president and chief risk officer.
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Blog
ABN AMRO chief risk officer not available for third term
Dutch bank ABN AMRO announced Chief Risk Officer Tanja Cuppen will not be available for a third term.
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News Brief
SEC fines Citigroup unit $2.9M for underwriting record failures
The Securities and Exchange Commission fined Citigroup Global Markets $2.9 million as part of a settlement addressing alleged recordkeeping failures concerning underwriting expenses that occurred for at least a decade.
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Blog
Charge Enterprises promotes CLO to CCO
Electric vehicle charging company Charge Enterprises announced the promotion of Chief Legal Officer James Biehl to chief compliance officer.
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News Brief
Banking reg proposals eye greater flexibility for FDIC amid failures
Federal banking regulators jointly issued new rule proposals and proposed guidance in continuing the push to shore up the U.S. regulatory system after a series of mid-sized bank failures earlier this year exposed apparent gaps.
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News Brief
PCAOB fines Warren Averett $200K over BDO alliance ties
Accounting firm Warren Averett agreed to pay a penalty of $200,000 in resolving the first case brought by the Public Company Accounting Oversight Board regarding auditor independence violations related to a firm’s membership in an accounting alliance.
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Premium
SEC chief accountant urges auditors, management widen scope on risk
Concerned auditors are missing the big picture when assessing a company’s internal control over financial reporting, the chief accountant at the Securities and Exchange Commission called on the profession—and company managers—to take a holistic approach to assessing risks.
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News Brief
CFTC fines Goldman Sachs $5.5M over new recordkeeping failures
Goldman Sachs was fined $5.5 million by the Commodity Futures Trading Commission as part of a settlement addressing alleged audio recordkeeping violations that followed a previous consent order the bank reached with the agency.
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Blog
FullSpeed Automotive recruits general counsel from Interstate Batteries
FullSpeed Automotive announced the appointment of Kelvin Sellers as general counsel.
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News Brief
Lincare to pay $29M over false claims for improperly billing Medicare
Lincare Holdings, a provider of oxygen equipment and subsidiary of Linde, agreed to pay $29 million to resolve allegations it violated the False Claims Act by fraudulently overbilling Medicare.
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News Brief
SEC fines Archipelago Trading Services $1.5M over SARs filing lapses
Archipelago Trading Services agreed to pay a $1.5 million penalty as part of a settlement with the Securities and Exchange Commission for allegedly failing to file nearly 500 suspicious activity reports largely related to microcap or penny stock securities transactions.
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Blog
Northfield Bank names chief risk officer
Northfield Bank, a subsidiary of Northfield Bancorp, announced the appointment of Vickie Tommasello as executive vice president and chief risk officer.
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Blog
Swarovski appoints chief legal and compliance officer
Jewelry retailer and manufacturer Swarovski announced the appointment of Stephan Mechnig as chief legal and compliance officer, effective Oct. 1.
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Webcast
CPE Webcast: Five human capital strategies that win
Discover how leading companies are leveraging human capital management to create a strong connection between employee well-being, sustainable and secure operations, and ESG objectives.
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Premium
Expert views mixed on proposed U.K. AML reforms
Experts share differences of opinion over whether future anti-money laundering supervision in the United Kingdom should be industry specific and whether a single regulator would be more effective than multiple bodies.
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Article
A day in the life of an MLRO
Discover the key responsibilities and skills of a money laundering reporting officer from Jason Holt, global head of financial crimes compliance at U.K-based investment manager abrdn.
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Blog
CCO at Burke & Herbert appointed CRO after merger with Summit
Jennifer Schmidt, chief compliance officer at Burke & Herbert Financial Services Corp., was appointed chief risk officer after the bank merged with Summit Financial Group.
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Premium
CFTC commissioner: Three ways to address climate-related financial risks
Christy Goldsmith Romero, a commissioner with the Commodity Futures Trading Commission, recommended three action items to help the agency and regulated entities “measure, understand, and address climate-related financial risk.”