All Compliance Week articles in Web Issue – Page 91
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FTC cases thrust COPPA compliance into spotlight
The Federal Trade Commission’s recent children’s privacy enforcement activity—including fines against Microsoft and Amazon—leaves no doubt businesses must make complying with the Children’s Online Privacy Protection Act a top priority.
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News Brief
FATF flags Cameroon, Croatia, Vietnam on AML/CFT watchlist
The Financial Action Task Force added Cameroon, Croatia, and Vietnam as part of the latest updates to its so-called “grey list” of jurisdictions under increased monitoring for money laundering and terrorist and proliferation financing.
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Learning from Uber’s DEI setback: Why structure, collaboration matter
Experts look back at Uber’s recent diversity, equity, and inclusion fiasco and illuminate hazards to avoid, allowing organizations to gain a stronger footing on their own DEI journeys.
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News Brief
JPMorgan unit fined $4M over record retention violations
JPMorgan Securities agreed to pay $4 million to settle charges levied by the Securities and Exchange Commission regarding record retention violations related to the deletion of approximately 47 million electronic communications.
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NAVEX report: Driven by cyber threats, infosec compliance top of mind
Compliance teams are taking more responsibility for issues related to information security and data privacy, motivated by increasing threats posed by data breaches and cyber intrusions, according to a new survey from NAVEX.
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News Brief
French DPA fines adtech firm Criteo $44M under GDPR
Adtech firm Criteo was assessed a penalty of €40 million (U.S. $44 million) for multiple alleged violations of the General Data Protection Regulation, including failing to verify it gained consent to process the data of European Union citizens.
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News Brief
SEC bars convicted ex-CCO at investment adviser from industry
The convicted former chief compliance officer at an unnamed New York-based investment adviser was barred from working in the industry by the Securities and Exchange Commission.
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Webcast
CPE Webcast: NIST, ISO, SIG: Which TPRM framework should you choose?
As more third-party events become known and more prominent, it’s essential to use the correct baselines and metrics. Applying a framework can help dissect and define the level of risk and segment that sufficiently to react and respond in a meaningful and proportionate way.
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CFTC commissioner crafting potential proposed rule on cyber resiliency
The Commodity Futures Trading Commission’s Technology Advisory Committee sponsored by Commissioner Christy Goldsmith Romero is crafting potential rulemaking to establish cyber resiliency baselines among swap dealers and futures commission merchants.
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News Brief
FTC sues Amazon over Prime enrollment, ‘cancellation trickery’
The Federal Trade Commission filed a complaint against e-commerce giant Amazon for allegedly enrolling consumers into Amazon Prime without their consent and making it difficult to cancel Prime subscriptions.
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News Brief
Marcum fined $13M for control failures magnified by SPAC client boom
Marcum agreed to pay $13 million in penalties levied by the Securities and Exchange Commission and Public Company Accounting Oversight Board for alleged quality control failures stemming from the audit firm’s work with special purpose acquisition company clients.
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News Brief
CFTC wants whistleblowers to help thwart carbon markets fraud
The Commodity Futures Trading Commission issued an alert regarding the identification and reporting of potential fraud or manipulation in carbon markets.
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News Brief
Insight Partners fined $1.5M over excess fees, conflicts of interest
Insight Venture Management agreed to pay a $1.5 million penalty in settling with the Securities and Exchange Commission for allegedly overcharging management fees and failing to disclose conflicts of interest regarding fee calculations.
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News Brief
Stanley Black & Decker avoids fine in SEC executive perks case
Tool manufacturer Stanley Black & Decker avoided a civil penalty in settling with the Securities and Exchange Commission regarding alleged violations of executive perk disclosure rules.
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Webcast
On-Demand: Best practices for reducing risk and building business resilience
Learn about best practices for building business resiliency, from risk identification and evaluation to implementing resilience measures.
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OCC’s Hsu: FIs wise to include risk, compliance in tech product development
As financial institutions mull potential growth opportunities with digital asset and artificial intelligence tools, Acting Comptroller of the Currency Michael Hsu warned against leaving risk and compliance teams out of the loop.
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News Brief
OFAC orders Swedbank Latvia to pay $3.4M over Crimea sanctions violations
Swedbank Latvia agreed to pay more than $3.4 million to resolve apparent U.S. sanctions violations in the Crimea region of Ukraine, the Office of Foreign Assets Control announced.
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News Brief
Lawsuit: Ex-Grindr privacy chief alleges firing over red flags raised
The former chief privacy officer at Grindr is suing the company behind the LGBTQ dating app for wrongful termination regarding alleged privacy violations he raised that new management ignored.
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Webcast
CPE Webcast: Compliance can be an advantage
Explore the people and business opportunities that lie at the intersection of evolving human capital management technology and employers’ complex compliance obligations.