Top Stories
Twitter agrees to $150M settlement with DOJ, FTC over data privacy lapses
Twitter agreed to a $150 million settlement with the Department of Justice and Federal Trade Commission for violating a 2011 administrative order by “misrepresenting” how it used nonpublic user information.
SEC rule proposal would order investment firms to back up ESG claims
The Securities and Exchange Commission proposed a new rule that would require registered investment advisers, investment companies, and business development companies to submit enhanced disclosures about funds that claim ESG strategies drive their investment choices.
Best practices, common pitfalls in working in high-risk countries
A panel of compliance professionals discussed the increasingly relevant topic of working in high-risk countries, sharing their experiences and lessons learned at Compliance Week’s National Conference in Washington, D.C.
Special Report
Desire for transparency launches FedEx on ESG journey
Since 2008, FedEx has produced detailed reports on its ESG initiatives. The company’s chief sustainability officer discusses the decision-making process behind the first report, determining materiality, and more in Part 1 of this four-part special report, published in partnership with the ICA.
2022 Excellence in Compliance Awards
‘Trusted partner’ Kelly Maxwell of Dana-Farber named CCO of the Year
Kelly Maxwell can’t cure cancer, but she and her team do their part to help the rest of the Dana-Farber Cancer Institute achieve that mission. For her work, Maxwell was named CCO of the Year at the 2022 Excellence in Compliance Awards.
Commitment to kindness earns Snap honor of Compliance Program of the Year
For Snap, kindness has long been a core value, but only last year did the company overhaul its code of conduct to thrust the term to the forefront of its internal communications. Snap was recognized as Compliance Program of the Year at the 2022 Excellence in Compliance Awards.
Conviction, moral fortitude define Lifetime Achievement winner Tamar Frankel
Tamar Frankel’s 50-year career as a law professor at Boston University more than satisfies her being honored for Lifetime Achievement at the 2022 Excellence in Compliance Awards. Yet, to limit the scope of Frankel’s accomplishments to her academic career would be a massive oversight.
CW Surveys
Survey: Are you prepared for the SEC’s climate-related disclosure rule?
Let us know what you think of the SEC’s proposed climate-related disclosure rule and whether your company will be prepared to comply.
Upcoming Webcasts
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Partner Content
CUBE Data Report: Overview of global enforcement trends
In light of the ongoing impacts of the pandemic on the global financial industry, CUBE looks at this year’s regulatory data to analyze the global enforcement trends of 2021.
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Data and Research
CW case study offers 360-degree view of ransomware attack
Closing the data risk gap: How technology enables data protection
When academic studies and hoax hotline claims go ‘off the rails’
CW presents: ‘Coming Clean: Volkswagen’s Dieselgate scandal and compliance monitorship’
Compliance Week presents: ‘A Tale of Two Storms’
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Partner Content
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More from Compliance Week
Lessons learned from Olympus compliance monitorship
Christine Gordon, chief compliance officer at Olympus Corporation of the Americas, spoke about her company’s experience working with a DOJ-selected independent monitor at Compliance Week’s National Conference.
ICO fines Clearview AI $9.4M over alleged data privacy lapses
The U.K. Information Commissioner’s Office fined Clearview AI more than £7.5 million (U.S. $9.4 million) for collecting people’s images from internet and social media sites without their knowledge or consent.
BNY Mellon fined $1.5M by SEC for misstatements on ESG mutual funds
BNY Mellon Investment Adviser has agreed to pay a $1.5 million fine to the Securities and Exchange Commission for making “misstatements and omissions” on environmental, social, and governance mutual funds it managed over three years.
Wells Fargo unit fined $7M for AML transaction monitoring failures
For the second time in five years, a subsidiary of Wells Fargo has been charged by the Securities and Exchange Commission with failing to file suspicious activity reports in a timely manner due to deficiencies in the system it used to flag transactions.
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