Articles | Compliance Week – Page 175
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A modern, corporate-friendly SEC glides into 2020
There are a few clouds on the horizon as some on Capitol Hill wonder whether a purported concern for the “Main Street investor” is cloaking a deregulation initiative.
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ArticleFRC calls for better reporting to improve trust
U.K. regulator the Financial Reporting Council’s annual review shows many of Britain’s largest companies use a “tick-box” approach to compliance with the U.K. Corporate Governance Code—often providing scant explanations and little detail.
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ArticleFTC strengthens orders in data security cases
Chief compliance officers seeking more guidance from the Federal Trade Commission on how the agency has improved its orders in data security cases will find helpful a recent blog post by Andrew Smith, director of the Bureau of Consumer Protection.
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ArticleFitch Ratings: ESG plays increasingly influential role on bank lending
Environmental, social, and governance factors are increasingly playing an influential role in the underwriting processes of global banks, according to a new report released by Fitch Ratings.
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Article‘Perennial’ risks comprise OCIE’s 2020 examination priorities
The SEC’s Office of Compliance Inspections and Examinations’ priorities in 2020 foster its risk-based approach and find room for both Main Street investors and innovation.
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SEC’s 2020 priorities can be gleaned from 2019 trends
Companies would be wise to study the SEC’s annual enforcement report and avoid becoming one of the ever-increasing number of enforcement actions the Commission doles out yearly for misconduct.
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DOJ enforcement priorities for 2020 include antitrust
Compliance officers need to step it up in 2020; a world of heightened risk means a world of heightened regulatory oversight.
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ArticleWhite House proposes AI regulatory principles to limit government overreach
In sum, federal agencies should reject “rigid, design-based regulations” in favor of flexible approaches to artificial intelligence applications.
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ArticleUnder Armour stealthily hires new accounting chief amid probes
Sports apparel company Under Armour made an under-the-radar executive change in November, hiring Aditya Maheshwari as chief accounting officer weeks after acknowledging a federal probe into its accounting practices.
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Chartered IIA names interim CEO
The Chartered Institute of Internal Auditors announced the appointment of John Wood as interim CEO.
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ArticleTeva to pay $54M in FCA whistleblower settlement
Teva Pharmaceuticals has reached a $54 million settlement in a lawsuit filed by two whistleblowers over allegations the drug company bribed physicians through numerous “sham” speaker programs in exchange for prescribing Teva drugs.
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Wells Fargo adds enterprise risk chief
Financial services giant Wells Fargo announced Price Sloan will join the company as chief strategic enterprise risk officer.
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Geopulse Exploration tabs compliance officer
Geopulse Explorations, a blockchain-powered logistics, financial services, and promotion platform for the cannabis sector, announced the appointment of Harrison Kordestani as compliance officer.
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Ventas names general counsel, CECO
Real estate investment trust Ventas announced Carey Shea Roberts will join the company as executive vice president, general counsel and ethics and compliance officer, during the first quarter of 2020.
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DXC Technology appoints chief risk officer
DXC Technology announced Carla Christofferson has been appointed chief risk officer to lead the company’s risk and security efforts.
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Axis Bank adds new risk chief
Axis Bank’ board of directors approved the appointment of Amit Talgeri as chief risk officer for a period of three years.
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Mirati Therapeutics names accounting chief amid shakeup
Mirati Therapeutics, a clinical stage targeted oncology company, announced changes to its executive management team, including the promotion of Vickie Reed to senior vice president, finance and chief accounting officer.
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Eaton appoints general counsel
Power management company Eaton announced April Miller Boise has been appointed executive vice president and general counsel.
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Australis Capital promotes chief accounting officer
Cannabis operations firm Australis Capital announced Alex Han, formerly vice president of accounting, has been promoted to chief accounting officer.
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ArticleUK Finance slams overregulation in financial services sector
UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.