Articles | Compliance Week – Page 174
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ArticleBlackRock: Climate change ‘defining factor’ in companies’ futures
Fund manager BlackRock announced several new initiatives with a focus on sustainable investing, including holding companies and boards more accountable where they are not making enough progress on sustainability-related disclosure.
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ArticleCyber-threats, regulatory change highlight top-10 risks study
Cyber-incidents, business interruption, and changes in legislation and regulation are the three biggest risks to companies globally, according to research by German insurer Allianz.
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ArticleGermany hits pesticides wholesalers with large fines
Seven pesticide wholesalers have been fined a total of €155 million (U.S. $173 million) for operating a 17-year price-fixing cartel.
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ArticleTip sheet: 2020 priorities for accounting and audit regulators
With the new year under way, we highlight some focus areas of accounting and audit regulators—SEC, PCAOB, and FASB—that should be top of mind for boards of directors.
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ArticleComments sought on draft vertical merger guidelines
The Federal Trade Commission and the Department of Justice’s Antitrust Division have jointly issued long-awaited draft guidelines concerning vertical mergers and are now seeking public comment.
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ArticleMy Compliance Library: ‘Crisis of Conscience’ explores whistleblower culture
The latest installment of My Compliance Library examines “Crisis of Conscience,” a wide-ranging look at whistleblowers and the toxic cultures that lead to their critical role in enacting change.
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ArticleOFAC designates new sanctions against Iran’s metals industry
Sanctions compliance officers should be on alert following several new sanctions designated by the Office of Foreign Assets Control against Iran’s largest steel, aluminum, copper, and iron manufacturers.
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NFL’s Redskins part with general counsel
The Washington Redskins of the National Football League announced they mutually parted ways with longtime general counsel and senior vice president of football operations Eric Schaffer.
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B. Riley Wealth Management tabs general counsel, CCO
B. Riley Wealth Management, a subsidiary of B. Riley Financial, announced the appointment of Michael Markunas as general counsel and chief compliance officer.
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Arvest Bank appoints chief compliance officer
Arvest Bank announced the promotion of Renee Huffaker to chief compliance officer. She assumes the role from Cara James, who was previously promoted to chief risk officer.
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Dodd, Frank challenge SEC’s Regulation Best Interest
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
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ArticleBritish retailer Dixons fined for pre-GDPR breach
The ICO has fined Dixons Carphone for failing to take “basic, commonplace” security measures that would have alerted it to one of the country’s worst cyber-attacks.
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ArticleCCPA compliance costs projected to reach $55B
An economic impact assessment of the CCPA forecasts short-term disadvantages for smaller companies and emerging markets around compliance solutions and data-based products.
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Top DOJ compliance official resigns; rejoins Morgan Lewis
Matt Miner, former deputy assistant attorney general of the DOJ’s Criminal Division who played a prominent role in the development of a range of significant compliance policy initiatives, will rejoin Morgan Lewis as a partner, the law firm has announced.
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ArticleSEC seeks to improve governance of public market data streams
Continuing its emphasis on disclosing conflicts of interest and boosting Main Street investors, the SEC seeks public input on a proposed order to modernize the National Market System.
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ArticleSamsung establishes compliance oversight committee
Samsung Group has announced its intent to establish a corporate compliance oversight committee as the company seeks to clean up its tarnished reputation following a slew of scandals.
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Motiva adds general counsel
Motiva Enterprises, an oil and energy firm, announced the appointment of Amy Marlyse Plato as executive vice president, general counsel. Plato’s responsibilities include serving as corporate secretary and business compliance officer.
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BancorpSouth appoints chief risk officer
BancorpSouth Bank announced the appointment of Ty Lambert as its chief risk officer.
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ArticleChartered IIA publishes new Internal Audit Code of Practice
The Chartered Institute of Internal Auditors announced the publication of new guidance intended to serve as an industry benchmark to improve the effectiveness of internal audit functions.
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ArticleHot topics for 2019 year-end audits
As auditors get ready for year-end audits, internal controls and new accounting standards are on their radar.