Articles | Compliance Week – Page 199
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Bitstamp hires U.S. chief compliance officer
Global cryptocurrency exchange Bitstamp announced the appointment of Caitlin Barnett as U.S. chief compliance officer.
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ArticleSEC charges former Illumina accountant with insider trading
The SEC has filed insider trading charges against a former Illumina accountant and friend whose alleged scheme resulted in $6.2 million in profits.
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Ryan Specialty Group appoints global CCO
International insurance organization Ryan Specialty Group announced the hiring of Michael Blackshear as a senior vice president and global chief compliance officer.
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SEC’s Clayton emphatically defends Reg. BI
SEC Chairman Jay Clayton, speaking to an audience of financial professionals in Boston, vigorously defended Regulation Best Interest and came out swinging against critics.
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Warren, Dems seek mandatory climate disclosures
Senator Elizabeth Warren (D-Mass.) has reintroduced the Climate Risk Disclosure Act, legislation that would require public companies to disclose their exposure to climate-related risks.
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Agencies exclude community banks from the Volcker Rule
Five federal financial regulatory agencies announced this week they have adopted a final rule to exclude community banks from the Volcker Rule.
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Florida man sentenced for role in collapse of Puerto Rico bank
The CEO of a now-bankrupt pharmaceutical company was sentenced to 30 years in prison for his role in a $100 million plot that triggered Westernbank of Puerto Rico’s collapse.
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Lyft names chief accounting officer
Rideshare service Lyft announced the appointment of Lisa Blackwood-Kapral as chief accounting officer.
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AXA hires chief risk officer from Goldman Sachs
French insurance giant AXA announced the appointment of Renaud Guidée as group chief risk officer, effective September 2019.
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Volvo CE appoints general counsel
Volvo Construction Equipment has appointed Nina Aresund as senior vice president and general counsel to replace longstanding SVP Legal Edvard Carleson.
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Cloudvirga names chief legal and compliance officer
FinTech firm Cloudvirga announced the appointment of Maria Moskver as chief legal and compliance officer.
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Embattled Danske hires HSBC compliance head
Danske Bank, embroiled in a substantial money laundering scandal, has added to its compliance team with the appointment of Simon Kingsbury as head of surveillance & investigation.
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ArticleFASB seeks comment on how to sort out goodwill issues
FASB is looking for input on how to address ongoing problems in the reporting of certain intangible assets, especially goodwill.
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ArticleRegulatory events: What’s hot this summer!
Here’s a look at some upcoming events and training from regulators like the SEC, DOJ, and PCAOB.
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ProcessUnity, DVV Solutions partner on third-party risk
ProcessUnity has added third-party risk management specialist DVV Solutions to its Partner Program as a managed-service provider.
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Marriott reveals $124M GDPR fine for data breach
Marriott has disclosed in a filing with the SEC that the U.K.’s Information Commissioner’s Office intends to fine it roughly £99 million (U.S. $124 million) for infringements of the EU’s GDPR.
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ArticleSEC shores up details on ‘short-termism’ roundtable
An upcoming SEC roundtable on July 18 will seek to identify potential market practices and regulatory changes that could encourage increased long-term strategies and investments.
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Exostar launches policy management solution
Exostar, a secure information sharing company, announced the launch and availability of its software-as-a-service (SaaS)-based policy management solution, Exostar PolicyPro.
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ArticleU.K.'s CMA mulls new regulator to tackle Big Tech
The CMA, U.K.’s competition watchdog, explores whether a separate regulator is needed to oversee leading digital firms that have become “data monopolies” that stifle competition.
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ArticleSEC's Clayton reignites debate about pairing of enforcement, waivers
In a potential boon for businesses, SEC Chairman Jay Clayton says qualifications for waiver issuances may no longer be delayed due to lingering accusations of misconduct.