Articles | Compliance Week – Page 141
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Contis tabs general counsel, risk chief
FinTech payments services firm Contis announced the appointment of Lara Oyesanya as its first general counsel and chief risk officer.
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ArticleSEC changes M&A rules for first time in 30 years
SEC Chair Jay Clayton says recent updates to M&A rules will enhance investor information and slash unnecessary costs, but critics argue the changes limit investor transparency and better serve larger corporations.
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ArticleFinCEN advisory details coronavirus risks for financial industry
The Financial Crimes Enforcement Network has issued what it says is the first of several advisories concerning financial crimes related to the COVID-19 pandemic.
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ArticleU.S. takes aim at China with stock delisting bill
The “Holding Foreign Companies Accountable Act,” passed unanimously by the Senate and now headed to the House, looks to rein in accounting improprieties of Chinese-based companies listed on the U.S. Stock Exchange.
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ArticleHow corporate finance can manage coronavirus challenges
Steve Barta, a partner in the Audit and Assurance practice of Deloitte & Touche, reveals some key accounting areas where finance leaders might need to give extra attention.
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ArticleCoronavirus heightens focus on children’s online privacy compliance
With increased use of remote learning putting children’s online privacy in the spotlight, regulators are stepping up their oversight and responding accordingly.
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ArticleTwo years in, GDPR defined by mixed signals, unbalanced enforcement
It’s been two years since the EU’s GDPR went into effect, and we still don’t know how lingering questions about compliance—as well as non-compliance—will be answered going forward.
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ArticleSFO closes bribery investigation into ABB
The U.K. Serious Fraud Office closed its bribery investigation into power and automation technology provider ABB after concluding the case “did not meet the relevant test for prosecution.”
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ArticleAres Management to pay $1M for compliance failures
Ares Management will pay a $1 million civil penalty to resolve charges by the SEC that it failed to implement and enforce policies and procedures reasonably designed to prevent the misuse of material nonpublic information.
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ArticleFRC probes KPMG, PwC over audits of Eddie Stobart Logistics
The U.K. Financial Reporting Council has launched investigations into Big Four firms KPMG and PwC concerning the audits of U.K. logistics company Eddie Stobart Logistics.
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ArticleWhy a ‘don’t put that into writing’ request should raise a red flag
The next time someone tells you not to take notes during a meeting, think about why they’re making that request. It’s almost never a good idea to agree to it, writes financial crime expert Martin Woods.
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ArticleSpecial report: Leadership in a time of unpredictable change
Executive coach Amii Barnard-Bahn reveals five tips for instilling compliance and ethics throughout the organization in times of uncertainty.
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ArticleFive ways to protect yourself from coronavirus cyber-attacks
Cyber-criminals are making attempts to test the cyber-security of those working from home during the coronavirus pandemic. Here are ways to help defend yourself and your business from these potential threats.
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ICA to host BIG Compliance Festival 2020 online
The International Compliance Association is organizing “The BIG Compliance Festival” to be an online event for regulatory and financial crime compliance professionals in 2020.
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ArticleAnalysis: How to handle the heat of boiler room fraud
Financial crime expert Martin Woods explains how compliance professionals can do their part in rooting out boiler room/investment frauds, citing a recent story from a call center in Kiev.
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ArticleBoeing appoints chief compliance officer
Aerospace giant Boeing recently appointed Uma Amuluru as vice president and chief compliance officer following the combining of its compliance and legal functions.
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Libra adds former FinCEN head as general counsel
Fledgling digital currency group the Libra Association announced the appointment of former FinCEN and OFAC Director Robert Werner as general counsel.
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Green Dot adds chief risk officer
Green Dot Corp., a FinTech and bank holding firm, announced the appointment of Philip Lerma as senior vice president and chief risk officer.
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Lucid Motors hires former Tesla general counsel
Electric car company Lucid Motors announced the appointment of Jonathan Butler as vice president, general counsel. Butler previously spent eight years with Tesla as deputy general counsel.
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FirstEnergy announces general counsel succession
Electric services company FirstEnergy Corp. recently announced a series of management changes, including the appointment of Ebony Yeboah-Amankwah to serve as vice president, general counsel and chief ethics officer.