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SEC

SEC examiners flag deficiencies in Reg BI compliance

2023-01-31T20:04:00+00:00By

The Securities and Exchange Commission issued a risk alert listing deficiencies its examiners found in broker-dealers’ compliance with Regulation Best Interest.

Ransomware

Study: Healthcare overtakes finance as most breached industry in 2022

2023-01-31T21:06:00+00:00By

Healthcare organizations were under attack more than ever by cybercriminals in 2022, overtaking finance as the most breached industry, according to the latest analysis from Kroll.

California AG

California AG launches CCPA violation sweep against mobile apps

2023-01-30T16:27:00+00:00By

The California attorney general announced his office notified an unspecified number of businesses with mobile apps they are failing to comply with the California Consumer Privacy Act.

CW Surveys

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Survey: Data retention in 2023

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The level of urgency around data privacy grows each year, with new laws being implemented across the globe and technologies offering enhanced means of data storage.

Partner Content

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Foster a Culture of Ethical Behavior

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Strengthen your ability to monitor, create, and maintain a culture of trust where your team can thrive.

Data and Research

Online training

Survey: Measuring the impact of code of conduct training

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Survey: How businesses are confronting governmental licenses in M&As

Climate policy

Survey: Firms early to prep for SEC’s climate-related disclosure rule

Data lock

Closing the data risk gap: How technology enables data protection

FedEx truck

Desire for transparency launches FedEx on ESG journey

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CW case study offers 360-degree view of ransomware attack

Dirty window

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

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Compliance Week presents: ‘A Tale of Two Storms’

  • Survey: Measuring the impact of code of conduct training

  • Survey: How businesses are confronting governmental licenses in M&As

  • Survey: Firms early to prep for SEC’s climate-related disclosure rule

  • Closing the data risk gap: How technology enables data protection

  • Desire for transparency launches FedEx on ESG journey

  • CW case study offers 360-degree view of ransomware attack

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

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

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More from Compliance Week

Morgan Stanley

Reports: Morgan Stanley fines bankers up to $1M for off-channel communications

2023-01-26T18:23:00+00:00By

Morgan Stanley fined its employees up to $1 million for using unauthorized communication channels in violation of recordkeeping rules, according to multiple reports.

Scott Hulsey

Q&A: Ex-DOJ official on policy changes, new CCO expectations

2023-01-26T17:01:00+00:00By

Scott Hulsey, partner at Barnes & Thornburg, former federal prosecutor, and a former chief compliance officer, discusses with Compliance Week how CCOs should respond to the Department of Justice’s recent policy changes regarding corporate crime.

DOJ building

Ex-GigaTrust CEO sentenced to five years for $50M fraud

2023-01-25T21:06:00+00:00By

The former chief executive officer of email security company GigaTrust was sentenced to five years in prison for fabrications that allowed him and two other executives to defraud investors and lenders of millions.

SEC building

SEC seeks to revive Dodd-Frank rule on conflicts in securities trading

2023-01-25T20:18:00+00:00By

The Securities and Exchange Commission resurrected an unfulfilled mandate of the Dodd-Frank Act that would prevent the sale of certain securities if there is a conflict of interest.

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CW accepting nominations for 2023 ‘Excellence in Compliance Awards’

Nominations are open for Compliance Week’s fourth annual “Excellence in Compliance Awards,” with winners to be recognized at our 2023 National Conference from May 15-17 in Washington, D.C.

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.