All Compliance Week articles in Web Issue – Page 988
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Blog
Compliance includes anti-trust compliance
While the United States banks on anti-trust training, in other parts of the world—such as Germany—there is not such a strong prohibition against competitors’ collaboration. Reports, however, indicate that may be changing.
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Blog
MetroHealth hires first chief ethics and compliance officer
The MetroHealth System has appointed Cheryl Forino Wahl as its first senior vice president and chief ethics and compliance officer, effective as of July 10. She reports to Chief Executive Officer Akram Boutros.
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Blog
Investment Management Director David Grim to Leave SEC
David Grim, director of the Division of Investment Management at the Securities and Exchange Commission, will leave the agency in September after more than 20 years of public service.
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Blog
uniQure names chief accounting officer
Pharmaceutical company uniQure announced new executive appointments to its leadership team and nominations to its board of directors, including the promotion of Christian Klemt from global controller to chief accounting officer.
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Blog
Seaworld Entertainment names chief accounting officer
SeaWorld Entertainment, a theme park and entertainment company, has appointed Elizabeth Gulacsy as chief accounting officer.
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Blog
Archrock names general counsel amid FCPA probe
Archrock Partners has appointed Stephanie Hildebrandt as senior vice president and general counsel, effective Aug. 7. Hildebrandt's appointment comes amid an ongoing Foreign Corrupt Practices Act investigation in connection with certain previously disclosed errors and possible irregularities at one of its former international operations.
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Blog
Teradata discloses FCPA probe
Teradata, an IT service management company, disclosed in its most recent quarterly filing that it has, through internal processes, discovered potential violations of the Foreign Corrupt Practices Act concerning one of its international subsidiaries doing business in Turkey.
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Blog
SFO investigating British American Tobacco
The U.K. Serious Fraud Office confirmed that it is investigating suspicions of corruption in the conduct of business by British American Tobacco, its subsidiaries, and associated persons over bribery allegations in East Africa.
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ArticleStriving toward a better ethics and compliance training program
NAVEX’s 2017 report on ethics and compliance training is out, and the results are required reading for compliance officers eager to know how well their programs compare to their peers.
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Article
Will AI disrupt compliance and internal audit?
At a recent Compliance Week conference, experts discussed implementation and expectation for incorporating artificial intelligence into compliance programs.
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Blog
U.K. government seeks views on NIS Directive
The U.K. government this week published a consultation seeking views on its plans to implement the EU’s Network and Information Systems Directive, which is due to come into force in May 2018.
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Article
Firms gird for fast-approaching NYDFS cyber-security deadlines
New York’s new cyber-security rules are already creating compliance and liability concerns. They may also give rise to a fractured playing field of demands in other states.
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Blog
U.K. mulls new fines for lax cyber-security measures
Organisations that fail to implement effective cyber-security measures could face significant fines, as part of plans to make Britain’s essential networks and infrastructure safe, secure, and resilient against the risk of future cyber-attacks.
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Article
How electronic trading strengthens execution in the muni market
As electronic trading becomes more commonplace, especially in the municipal bonds market, there are plenty of compliance benefits to be had.
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Article
SFO announces Rio Tinto corruption investigation
Rio Tinto faces large fines if it is found to have engaged in corrupt activity over its massive Simandou iron-mining project in Guinea. Heads have already rolled over it.
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Article
Keeping customer service on the right track
A poor customer interaction can result in a PR nightmare, especially on social media. How can compliance help ensure that staff is properly trained to avoid a reputational fiasco?
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Blog
Halliburton, the FCPA, and effectiveness
Having a great compliance program means nothing if it exists only on paper. If you want to keep the DoJ and SEC happy, that program must also be demonstrably effective.
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Article
Differing regulatory ethos poses challenges for cross-border financial institutions
In a group Q&A, we look at how multinational companies should view compliance amid attitudinal differences regarding compliance and enforcement.
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Blog
Bank CCOs weigh effectiveness vs. burden of rules
A new survey of bank CCOs conducted by the American Bankers Association shows continued concerns about their regulatory burden and skepticism that piling up rules actually helps.
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Blog
FTC bust targeted money laundering, fraudulent merchant accounts
The Federal Trade Commission has charged 12 defendants with laundering millions of dollars in credit card charges through fraudulent merchant accounts.