Articles | Compliance Week – Page 203
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Despite critics, Facebook plunges into virtual currency
Amid growing antitrust scrutiny and data privacy complaints, Facebook is nevertheless expanding into the cryptocurrency space.
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Sycamore Partners names chief compliance officer
Private equity firm Sycamore Partners has named Carla Vogel as chief compliance officer.
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ArticleSEC overturns PCAOB action stemming from financial crisis
The SEC has canceled sanctions imposed by the PCAOB on a now-retired KPMG auditor connected with a mortgage lender failure at the height of the financial crisis.
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Wedbush to pay more than $8.1M for improper handling of ADRs
Wedbush Securities will pay more than $8.1 million to settle charges for the improper handling of “pre-released” American Depositary Receipts.
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Compliance.ai upgrades RCM solution
Compliance.ai announced the availability of new features to its Modern Regulatory Change Management solution.
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ArticleSEC seeking comment on ways to harmonize private securities offering exemptions
The SEC is requesting public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections.
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SEC finalizes change to auditor independence rules
The SEC has finalized its revision of auditor independence rules to change the threshold around lending relationships with clients that would raise concerns.
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ArticleBenchmark report provides holistic look at compliance best practices
A benchmark report published by NAVEX Global provides comprehensive research into the multiple disciplines of an ethics and compliance program.
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ArticleCongress shows new resolve to combat shell companies
The United States seems poised to finally tackle issues surrounding shell companies and their often-opaque beneficial ownership structures.
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Kroll adds managing director to cyber-risk practice
Kroll announced the appointment of Thomas Brittain as an associate managing director in the Cyber Risk practice.
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ArticleSFO appoints two non-executive directors
The U.K. Serious Fraud Office has appointed two new non-executive directors: Emir Feisal and Martin Spencer.
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ArticleICBC to pay more than $42M for improper handling of ADRs
Industrial and Commercial Bank of China Financial Services will pay more than $42 million to settle charges with both the Securities and Exchange Commission and the Department of Justice for the improper handling of “pre-released” American Depositary Receipts.
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ArticleBreaking up is dumb to do
Is splitting up big tech companies a cure for their outsized influence? Probably not.
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Realogy appoints chief ethics and compliance officer
Realogy Holdings has appointed Shacara Delgado as chief ethics and compliance officer, effective June 17.
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Expedia settles with Treasury for violations of U.S. sanctions on Cuba
Expedia Group has agreed to pay more than $325,000 to resolve allegations that it violated U.S. sanctions on Cuba, the Treasury Department announced.
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ArticleAntitrust argument the latest attempt to regulate Big Tech
Congress and presidential candidates alike are escalating their efforts to thwart the dominance of the tech giants.
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French real estate company fined €400,000 for GDPR violations
France’s data watchdog CNIL levied a €400,000 (U.S. $453,000) fine on real estate services provider Sergic for failing to adequately protect the data of its Website’s users.
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Refinitiv, Napier partner to combat AML
Refinitiv has partnered with AML software provider Napier to offer a transaction monitoring solution designed to tackle emerging threats in financial crime.
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FCA publishes final report on RBS
The Financial Conduct Authority has concluded its investigation into the Royal Bank of Scotland and published a final report of its findings.
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Vaalco Energy appoints chief accounting officer, controller
Vaalco Energy has appointed Jason Doornik as chief accounting officer and controller.