Articles | Compliance Week – Page 172
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Doctors Company promotes chief risk officer
Medical malpractice insurance firm The Doctors Company announced the promotion of longtime company executive Marco Vanderlaan to chief financial officer and chief risk officer.
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ArticleJefferies to pay $4M for improper handling of ADRs
Broker-dealer Jefferies will pay $4 million to settle charges for the improper handling of “pre-released” American Depositary Receipts (ADRs), the Securities and Exchange Commission announced.
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ArticleSFO latest to investigate Glencore over bribery concerns
Glencore announced it is under investigation by the U.K. Serious Fraud Office over suspicions of bribery, making it the third investigation the multinational commodity trading and mining company is now facing.
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Former Fed Chair Paul Volcker passes away
Paul Volcker, former chairman of the Federal Reserve and eponym to the controversial Volcker rule of the Dodd–Frank Act, died Sunday. He was 92.
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ArticleEricsson finalizes $1B FCPA settlement
Swedish telecom giant Ericsson has entered a $1 billion settlement with U.S. authorities to resolve a long-running investigation into violations of the FCPA that spanned 17 years and several geographies and involved high-level executives.
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ArticleStudy: Spike in OFAC sanctions pose compliance challenges
Some companies might scramble to comply with more—and sometimes quickly shifting—sanctions requirements as the U.S. government chalks up record enforcement levels.
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ArticleU.S. lenders feel confident, but why? Compliance, risk challenges abound
Financial institutions are feeling more confident than ever about their compliance management practices, but they remain concerned about the “moving targets” of regulators, new research shows.
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EBRD debars GE Power Sweden for record six years in corruption case
The European Bank for Reconstruction and Development has imposed a record six-year term of debarment on GE Power Sweden concerning a long-running corruption scheme at 2015 acquisition Alstom Power Sweden.
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ArticleCeladon execs charged with accounting fraud
Two former top executives of trucking company Celadon Group face civil and criminal charges for their participation in an accounting fraud scheme that inflated the company’s income and earnings per share.
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Mitsubishi Motors NA names general counsel
Mitsubishi Motors North America announced the appointment of Katherine Knight to the role of vice president and general counsel.
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Apollo Investment announces new CCO
The board of directors of Apollo Investment Corp. appointed Isabelle Gold as chief compliance officer, the company announced in an SEC filing.
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LGIM appoints chief compliance officer
Legal & General Investment Management announced the appointment of Camille Blackburn as chief compliance officer.
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Hillenbrand tabs chief accounting officer
Global industrial firm Hillenbrand has named Andrew Kitzmiller as its vice president, chief accounting officer and controller.
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MGIC promotes longtime employee to chief risk officer
Mortgage Guaranty Insurance Corp. promoted Steven Thompson to executive vice president – chief risk officer. Thompson joined MGIC in 1998.
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Principal Financial appoints general counsel
Financial investment management company Principal Financial Group announced the appointment of Christopher Littlefield as its new general counsel.
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Penumbra names new accounting chief
Healthcare firm Penumbra announced the promotion of Lambert Shiu to chief accounting officer among several leadership changes.
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OneMain Financial adds general counsel
Personal loans provider OneMain Financial announced the appointment of Adam Rosman as executive vice president and general counsel.
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XA Investments announces new general counsel
Chicago-based investment manager XA Investments has named Benjamin McCulloch as general counsel.
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BioPlus Specialty Pharmacy hires chief compliance and privacy officer
BioPlus Specialty Pharmacy has named Brian Cherico as its chief compliance and privacy officer.
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McDermott appoints chief accounting officer
Multinational engineering company McDermott International has appointed Dale Suderman as its new vice president, chief accounting officer.