Articles | Compliance Week – Page 157
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ArticleThree former Barclays execs acquitted of fraud charges
The Serious Fraud Office suffered another major setback in the U.K.’s first trial against bank executives for misconduct during the 2008 financial crisis, after three former executives of Barclays were acquitted of fraud charges.
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ArticleSix compliance lessons from Wells Fargo’s really bad week
Two more settlements reached by Wells Fargo with regulators in the span of a week impart yet more “what not to do” ethics and compliance lessons.
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ArticleSEC hands out largest whistleblower award in nearly a year
The Securities and Exchange Commission announced the award of more than $7 million to a whistleblower who provided “extensive and ongoing assistance” during the course of an investigation.
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ArticleESG at the vanguard of company objectives in 2020
According to the latest research, 2020 may be the year when corporations finally embrace environmental, social, and governance initiatives.
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ArticleBenchmarking report: New lease accounting rules having seismic effect on balance sheets
In LeaseQuery’s first benchmarking analysis of lease liabilities, it found balance sheet liabilities increased nearly 16 times as operating leases came onto the balance sheet for the first time upon adoption of ASC 842.
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ArticleSEC rips Wells Fargo’s ETF compliance efforts in $35M settlement
Already reeling from last week’s $3 billion penalty related to its fake accounts scandal, Wells Fargo took another hit Thursday in the form of a $35 million SEC settlement related to poor supervision of investment recommendation practices.
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LendingClub poaches chief risk officer from Uber
LendingClub Corp., America’s largest online lending marketplace, announced the appointment of Annie Armstrong to serve as chief risk officer.
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Six Flags discloses new general counsel
Theme park operator Six Flags Entertainment Corp. announced the appointment of Laura Doerre as executive vice president and general counsel in a recent filing with the SEC.
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Nutanix appoints chief accounting officer
Software firm Nutanix announced the appointment of Aaron Boynton as chief accounting officer to scale its global accounting function and oversee all financial reporting and compliance efforts.
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Guaranteed Rate hires chief risk officer
Guaranteed Rate, one of the largest retail mortgage lenders in the nation, announced the appointment of industry veteran Joseph Grassi as chief risk officer.
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Krystal Biotech adds accounting chief; CFO resigns
Gene therapy company Krystal Biotech announced the appointment of Kathryn Romano as chief accounting officer.
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Workiva tabs general counsel
Compliance solutions provider Workiva announced the company’s board of directors has named Brandon Ziegler as senior vice president and general counsel, effective March 16.
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IntSights adds veteran CCO
Threat intelligence firm IntSights announced Chris Strand has joined its executive team as chief compliance officer to continue building out the company’s cyber-compliance initiative.
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Barnes Group appoints general counsel successor
Barnes Group announced the appointment of James Pelletier as senior vice president, general counsel and secretary, effective April 1. Pelletier will succeed Peter Gutermann, who will retire at the end of March.
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Carrols Restaurant Group names general counsel
Carrols Restaurant Group, the largest Burger King franchisee in the United States, announced it has appointed Markus Hartmann as vice president and general counsel.
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PayScale hires general counsel
Cloud-based compensation software provider PayScale announced Kristin Boraas will serve as its new general counsel.
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Merrill Corp. adds general counsel
Global SaaS provider Merrill Corp. announced the appointment of Patricia Elias as vice president, general counsel and secretary.
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Westlake Chemical promotes accounting chief
Westlake Chemical has appointed Johnathan Zoeller to serve as vice president and chief accounting officer. Zoeller’s appointment will become effective upon the retirement of his predecessor, George Mangieri, at the end of March.
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Aspen appoints group chief risk officer
Aspen Insurance Holdings announced Crystal Ottaviano has been appointed group chief risk officer, effective March 2.
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Xcel Energy names new compliance, risk chief amid shuffle
Electric services firm Xcel Energy named Karen Hyde senior vice president, chief risk, audit and compliance officer amid a series of recent changes in leadership.