Articles | Compliance Week – Page 105
-
Article
Lincoln Financial tabs general counsel
Insurance firm Lincoln Financial Group announced Craig Beazer has been named executive vice president and general counsel.
-
Article
Sabra Health Care REIT appoints chief accounting officer
Sabra Health Care REIT, a Nasdaq-listed real estate investment trust, announced Michael Costa has been appointed chief accounting officer.
-
Article
CFTC general counsel to depart
The Commodity Futures Trading Commission announced Daniel Davis, general counsel and head of the Legal Division, will depart the agency for a role in the private sector.
-
Article
J. Robert Brown to depart PCAOB board
The Public Company Accounting Oversight Board announced J. Robert Brown Jr. will conclude his service on the Board this month.
-
ArticleCJEU opinion could further expose Big Tech under GDPR
Any European Union data protection authority should be allowed to pursue legal action against Big Tech firms over privacy issues, according to an opinion from the advocate general of the region’s top court.
-
ArticleSEC Chief Accountant Sagar Teotia to depart
SEC Chief Accountant Sagar Teotia joins the growing list of senior officials at the agency set to depart amid the presidential transition to the Biden administration.
-
ArticleActing enforcement head Marc Berger to depart SEC
Marc Berger, who has served as acting director of the Division of Enforcement at the SEC for a few short weeks, will leave the agency later this month.
-
ArticleCommon themes from financial statement fraud SEC enforcement actions
A new report from the Anti-Fraud Collaboration analyzes the most common financial statement fraud themes noted in SEC enforcement actions and offers insights to mitigate the top risk areas.
-
ArticleAll signs point to aggressive consumer protection under Biden
Consumer protection initiatives are expected to be a major area of focus for President-elect Joe Biden, who is widely anticipated to breathe new life into the enforcement priorities of federal and state agencies with such powers.
-
ArticleThe roles of HR and compliance in driving diversity & inclusion
If HR drives diversity and inclusion strategies, the compliance function should play an important part in overseeing related changes in organizational behavior and practices.
-
ArticleCompanies don’t get credit for bailing on Trump in Capitol attack aftermath
It’s shameful that it took searing images of rioters looting the Capitol building for some corporations to act on the danger President Donald Trump has posed to the country all along, writes Aaron Nicodemus.
-
ArticleGerman laptop retailer fined $12.7M under GDPR for employee surveillance
A German data regulator fined an online laptop and electronic goods retailer €10.4 million (U.S. $12.7 million) for video-monitoring employees for at least two years without legal basis.
-
Article‘Excellence in Compliance Awards’ nomination deadline closed
The nomination deadline has closed for Compliance Week’s second annual “Excellence in Compliance Awards,” which for 2021 includes a new category to honor companies whose ethics and compliance programs are head and shoulders above the rest.
-
ArticleDeutsche Bank to pay $130M to settle bribery, ‘spoofing’ charges
Deutsche Bank has agreed to pay more than $130 million to resolve charges that it paid bribes to third parties to secure business deals in Asia and the Middle East, in addition to a separate commodities fraud “spoofing” case.
-
ArticleCompliance implications of Boeing $2.5B fraud settlement
Boeing has agreed to pay over $2.5 billion as part of a three-year deferred prosecution agreement entered into with the Justice Department to resolve a criminal charge related to the company’s 737 MAX scandal.
-
ArticleWhat Senate control means for Biden’s regulatory agenda
Even with Democratic control of the House and Senate, President-elect Joe Biden will still find it difficult to pass new laws, experts say.
-
ArticleU.K. tax authority fines MT Global record $32.4M for AML failures
MT Global Limited, a U.K.-based money transfer company, was hit with a record £23.8 million (U.S. $32.4 million) fine by the U.K.’s tax authority for violations of anti-money laundering regulations.
-
ArticleBiden names NSA cyber head to White House position
Anne Neuberger, currently the cyber-security director at the National Security Agency, has been appointed to fill a newly created cyber-security position on President-elect Joe Biden’s National Security Council.
-
ArticleFive key points from the EU-U.K. Brexit trade deal
The Brexit trade deal agreed to by the European Union and United Kingdom details how all business between the two markets will be transacted from now on. Neil Hodge examines five key areas of the deal.
-
ArticleCompensation or compromise? The risks of compliance bonuses
Financial crime expert Martin Woods assesses whether incentivizing compliance officers with bonuses may undermine the importance of performing the job with integrity and credibility.