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MassMutual $4M fine a lesson in trader conduct oversight

2021-09-17T15:24:00+01:00By

A subsidiary of Massachusetts Mutual Life Insurance agreed to pay $4 million after apparently missing nearly two years’ worth of red flags by one of its broker-dealers that turned out to be a driving force behind the GameStop stock trading craze.

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The dos and don’ts of building a DEI program

2021-09-16T15:25:00+01:00By

NABCRMP Founder Jennifer Newton shared how to create a sustainable diversity, equity, and inclusion program that aligns with an organization’s mission during CW’s “Everything ESG” virtual event.

Osprey

How ContourGlobal, Osprey have established effective ESG programs

2021-09-16T19:54:00+01:00By

Crafting an effective environmental, social, and governance program is not an easy feat. At CW’s “Everything ESG” virtual event, compliance/sustainability leaders from ContourGlobal and Osprey shared how they are successfully working to meet their goals.

Surveys

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2021 benchmark survey: Current state of risk and compliance integration

By Compliance Week

Compliance Week and Riskonnect are conducting a survey to find out more about how companies are integrating their risk and compliance functions. Please take five minutes to help inform your colleagues.

Special Report

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CW whistleblower series: ‘Witness to Wrongdoing’

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This in-depth CW series chronicles the timeline of a whistleblower—from identifying wrongdoing to reporting and enduring subsequent hardships. Exclusive interviews impart key lessons for compliance officers seeking to become an ally to these individuals.

Aaron Westrick

Part 1: Finding the fraud launches whistleblowers on life-changing journey

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Whistleblowers aren’t born—they’re made. For five individuals that have taken on that mantle, the story began with discovering a problem that could no longer be ignored.

Partner Content

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CPE Webcast: Business spend monitoring: Do trends speak louder than machine learning and AI?

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As parts of the world economy open up and overall business spend is on track to go back to pre-COVID-19 levels, organizations are more vulnerable to fraud, corruption, and regulatory violations.

Data and Research

  • What factors are driving change in your corporate investigations process?

  • CW presents: ‘Coming Clean: Volkswagen’s Dieselgate scandal and compliance monitorship’

  • Survey: Firms enhanced cyber-security in 2020, but not enough

  • Special report: Compliance, infosec & battling cyber-threats

  • Compliance Week presents: ‘A Tale of Two Storms’

Partner Content

More from Compliance Week

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App Annie to pay $10M in landmark SEC action

2021-09-15T17:31:00+01:00By

The Securities and Exchange Commission charged App Annie with securities fraud—the agency’s first enforcement action against an alternative data provider.

Wells Fargo sign

Elizabeth Warren urges Fed break up ‘ungovernable’ Wells Fargo

2021-09-15T16:12:00+01:00By

Sen. Elizabeth Warren has called for federal banking regulators to break up Wells Fargo, saying “every new report of scandal and ongoing noncompliance” proves the bank is “ungovernable.”

KPMG

KPMG Australia fined $450K over training test cheating

2021-09-15T15:09:00+01:00By

The Public Company Accounting Oversight Board announced a $450,000 fine against KPMG’s Australian subsidiary to resolve allegations of widespread cheating on personnel training tests at the firm.

Jim Massey 2

Message to compliance on ESG: ‘Step up and lead’

2021-09-15T12:50:00+01:00By

Regardless of situation, one thing all companies should have in common is a compliance presence as part of ESG decision-making, said Jim Massey during a fireside chat at CW’s “Everything ESG” virtual event.

LinkedIn Group

    Looking for a forum to interact with corporate compliance officers, internal auditors, risk officers, financial reporting executives, and other corporate governance enthusiasts? Join the Compliance Week LinkedIn group, where members network and discuss GRC news and issues. Open to compliance practitioners.